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By Michelle Samaad |
July 20, 2011
SEC to hold hearing in Alabama
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By Michelle A. Samaad |
May 31, 2011
The Dodd-Frank Act has given the Securities and Exchange Commission power to create a new whistleblower program.
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By Michelle A. Samaad |
March 11, 2011
A 263-page report has listed a number of recommendations the SEC should consider to reform the agency’s operations as it appeals to Congress for more funding.
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By Michelle A. Samaad |
September 2, 2010
The SEC said today it has adopted a temporary rule requiring advisors who provide advice to state and local governments to register with the agency by Oct. 1.
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By Michelle A. Samaad |
August 4, 2010
Joe and Jane Consumer may be overwhelmed with what the recently enacted legislation aimed at overhauling financial services means in their day-to-day lives. But advocates say the changes are really in their best interest.
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By Michelle A. Samaad |
July 27, 2010
The SEC is asking for feedback on the areas of the Dodd-Frank Wall Street Reform and Consumer Protection Act that will impact investors.
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By Michelle A. Samaad |
May 19, 2010
Huddled in a room last week, SEC Chairman Mary Schapiro met with the leaders of the six exchanges to get to the bottom of what caused unusual trading activity and enormous stock market selloff on May 6.
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By Michelle A. Samaad |
May 5, 2010
For fiscal year 2011, the SEC said it estimates collecting $1.7 billion on transaction and registration fees but that would be offset by the $1.25 billion proposed by President Obama for the agency's operations.
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By Michelle A. Samaad |
January 14, 2010
Broker-dealers would be required to establish, document and maintain a system of risk management controls related to their clients' access to markets under a new SEC proposal.
