Securities and Exchange Commission

• Biggest SEC Enforcement Effort is Advisor Misconduct

  By Staff Writer  |  June 8, 2012

  Former SEC enforcement chief says unit has been "unprecedented in its success."

• SEC Re-Opens Broker-Dealer Proposal Comment Period

  By Michelle A. Samaad  |  May 9, 2012

  After a five-year quiet period on proposed amendments involving notification rules for broker-dealers, the SEC is again seeking feedback.

• Sen. Bachus Denies Charges

  By Claude R. Marx  |  February 20, 2012

  House Financial Services Committee Chairman Spencer Bachus (R-Ala.) predicted that he would be cleared of charges that he violated insider trading laws.

• MBL Measure Not on Roster of Panel’s Job Creation Bills

  By Claude R. Marx  |  February 13, 2012

  The House Financial Services Committee plans to vote this week on several bills it says will spur job creation and ease the regulatory burden.

• Bachus Says He Will Be Cleared in Ethics Probe

  By Claude R. Marx  |  February 10, 2012

  Republican chair of House Financial Services Committee being probed for possible insider stock trading.

• Fraud Penalties Hit $3 Billion

  By Michelle A. Samaad  |  November 20, 2011

  The Securities and Exchange Commission said this year will mark the highest number of enforcement actions filed in the agency’s history.

• SEC’s Fraud Cases Top a Record $3 Billion

  By Michelle A. Samaad  |  November 10, 2011

  This year will go down in history as the Securities and Exchange Commission’s highest ever in enforcement actions filed.

• Senate Next Step for Bank Regulatory Relief Bill

  By Claude R. Marx  |  November 4, 2011

  House passes measure that raises number of shareholders needed before bank must register with SEC.

• SEC to Review All Existing Regulations

  By Michelle A. Samaad  |  September 8, 2011

  Agency sets Oct. 6 deadline for comments.

• CUSO Changes: Mum's the Word at CUs

  By Michelle A. Samaad  |  August 24, 2011

  With much more at stake, it is no surprise that credit union service organizations are sounding the alarm louder than credit unions regarding an NCUA proposal that would alter how CUSO relationships are regulated.