U.S. Securities and Exchange Commission

• Local Regs Reason for Severing Client Relationships: Report

  By Warren S. Hersch  |  January 14, 2013

  Study shows 77% of senior financial services managers would consider ending relationships because of compliance concerns.

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  Regulation, Communication, Trust and Ethics All Linked

  By Stuart R. Levine  |  January 7, 2013

  Credit unions pose diverse regulatory challenge, but some things apply to all sizes.

• 2013 Watch: Member Investments in the Year Ahead

  By Michelle A. Samaad  |  December 27, 2012

  Market uncertainty, lack of member awareness cited as challenges in growing credit union retail investment programs.

• More SEC Officials to Leave Agency

  By Michelle A. Samaad  |  December 27, 2012

  On the heels of the announcement that SEC Chairman Mary Schapiro would be leaving the agency on Dec. 14, other officials followed suit.

• Elisse Walter to Become New SEC Chairman

  By Michelle A. Samaad  |  November 27, 2012

  A current SEC commissioner who has worked at the agency in several capacities, Elisse Walter has been tapped to become the new SEC chairman.

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  SEC Chairman Schapiro to Step Down Dec. 14

  By Michelle A. Samaad  |  November 26, 2012

  Schapiro among longest-serving agency chairmen; SEC touts accomplishments of her tenure.

• SEC Receives 3,000 Whistleblower Tips in 2012

  By Michelle A. Samaad  |  November 16, 2012

  In just its first year, the SEC said its whistleblower program brought in more than 3,000 tips from all 50 states and 49 other countries.

• Her Majesty’s CU in Trouble Again for Alleged Sale of Fake CDs: SEC

  By Michelle A. Samaad  |  November 13, 2012

  A company offering allegedly fraudulent and unregistered certificates of deposits under the name Her Majesty’s Credit Union has been targeted by the SEC.

• Hurricane Sandy: SEC Warns of Investment Scams

  By Michelle A. Samaad  |  November 9, 2012

  The SEC has issued a fraud alert to help protect individuals who may receive lump sum payouts following Hurricane Sandy.

• Dodd-Frank Boosts Adviser Registration, Assets Under Management

  By Michelle A. Samaad  |  October 23, 2012

  A total of 1,504 advisers to hedge funds and private funds have registered with the SEC since Dodd-Frank mandated such registration.