U.S. Securities and Exchange Commission

• Coalition Calls for More Diversity

  By Michelle A. Samaad  |  March 6, 2013

  While the NCUA’s Office of Minority and Women Inclusion was created to ensure diversity in management, employment and business activities, the two-year old division has much more room to have an impact.

• Investors Asked to Weigh in More on Advisers, Broker-Dealer Conduct

  By Michelle Samaad  |  March 5, 2013

  Regulator wants investor input on whether new regulations are needed.

• Broker-Dealer Fraud Among SEC’s 2013 Priorities

  By Michelle A. Samaad  |  February 22, 2013

  The SEC said there are several areas of heightened risk it plans to examine this year, including sales practices, fraud at broker-dealers.

• African American CU Coalition Encourages NCUA’s Office of Minority and Women to Do More

  By Michelle A. Samaad  |  February 21, 2013

  Agency's two-year-old OMWI has room to make more of an impact, advocacy group says.

• SEC Halts $150 Million Scheme Promising Visas to Foreign Investors

  By Michelle A. Samaad  |  February 12, 2013

  Agency accuses Illinois businessman of fraudulently luring investors into scheme focused on building a hotel and conference center.

• SEC Charges Couple in $75 Million Charitable Annuity Scam

  By Michelle A. Samaad  |  February 5, 2013

  Florida filing says Richard and Susan Olive bilked $75 million from more than 400 investors in more than 30 states.

• Senate Bill Would Replace CFPB Director With Five-Member Commission

  By Heather Anderson  |  February 1, 2013

  Kansas Republican Moran says measure would make CFPB similar in structure to SEC, add accountability and oversight.

• Florida Real Estate Execs Charged in $300 Million Investment Scam: SEC

  By Michelle A. Samaad  |  January 30, 2013

  Instead of using investor funds to develop resort properties, SEC said, Cay Clubs executives used new investor deposits to pay leaseback returns to earlier investors.

• Investment Overhaul

  By Michelle Samaad  |  January 16, 2013

  The markets roiled several times last year, scaring investors to pull out and wait on the sidelines.

• Regulation, Communication, Trust and Ethics Linked

  By Stuart R. Levine  |  January 16, 2013

  The full effect of the Dodd–Frank Wall Street Reform and Consumer Protection Act is still to be felt in the financial sector. Dodd-Frank creates an environment of increased scrutiny and heightened sensitivity by regulators and consumers.