SEC's Exam Division Gets New Director
The SEC has appointed Carlo V. di Florio as director of the agency's embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
? Ram Subramaniam has been named managing director and head of products at TD Ameritrade. In his new position, Subramaniam will report to Peter Sidebottom,...
Lori Richards Leaving SEC
Head of OCIE's departure may signal changes for the exam division.
SEC Officials Speak Out on Compliance and a New SRO
Exam priorities, harmonization of B/D and advisor rules, and reinstating uptick rule in the spotlight
The Playing Field: Reform Is on the Way
As new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...
Where is the SEC headed in 2009?
The financial crisis has undoubtedly put a stronger focus on regulation in the securities industry. As financial professionals and organizations plot their course for 2009,...
FINRA and SEC Look to Build Bridges
Keeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...
The New Paradigm
On the face of it, the idea of marrying operations and compliance seems natural. But such a marriage is not about combining two separate functions...
Lori Richards, director of the SEC's Office of Compliance Inspections and Examinations (OCIE), announced April 16 the release of an online compliance tool, called the...
Following suggestions from our regular contributors, nominations from within the industry, and the editorial staff's own personal submissions, this is the list of semifinalists from...