Court Rules There’s No 180-Day Limit on SEC Investigations
An appellate court has agreed with the SEC’s self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
Schapiro, Kanjorski Comment on ‘Flash Crash’ Report
The staffs of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) released a joint report Friday which detailed their findings regarding the market events of May 6, 2010
Kanjorski: SIPA Coverage Should Be Extended to Investment Advisors’ Clients
Rep. Paul Kanjorski, D-Pa., chairman of the House Financial Services Subcommittee on Capital Markets, said Thursday that Congress should consider expanding the Securities Investor Protection Act's coverage to investment advisors' clients
SIPC Announces First Online Forum on Heels of Kanjorski Criticism
As part of its efforts to modernize, the Securities Investor Protection Corp. will hold its first-ever online forum for investors who want to speak out about the SIPC's operations at 8 p.m. EDT on September 14 at www.SIPCModernization.org.
House's September Agenda: GSEs, SIPA
The House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises plans to tackle the future of housing finance and the limitations of the Securities Investor Protection Act when it re-convenes in September
In Financial Reform Bill, SEC Facing 'Many Hurdles,' Lawmaker Says
SEC expects to add 800 positions to carry out new duties under Dodd-Frank bill.
Congress Plans SEC Oversight Hearing for July 20
Securities regulator also announces it will add three new offices to Division of Corporation Finance.
A Whirlwind of SEC Activity
Whether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...
Barney Frank Calls for Fiduciary Standard and SEC Self-Funding
'Essential to protecting investors' says Frank at reconciliation conference for Wall Street reforms bills.
No Federal Regulation of Insurance, Yet, as House Committee Approves Financial Stability and Insurance Office Bills
Full House to begin debating financial reform December 9