|
President Obama
Establishes Interagency Financial Fraud Enforcement Task Force
- 11/17/2009
SEC to Hold National Seminar for Chief
Compliance Officers - Nov. 9, 2009
SEC Launches Investor.gov - Oct. 22, 2009
FINRA -
Increased Margin Requirements for Leveraged Exchange-Traded Funds and
Associated Uncovered Options
Effective December 1, 2009 -
09-53
SEC Charges New York-Based Money Manager in $40 Million Ponzi Scheme -
September 8, 2009
Statement by SEC Chairman:
Statement on the Release of the Executive Summary of the Inspector General's Report Regarding the Bernard Madoff Fraud
-
September 2, 2009
Executive Summary - Investigation of Failure of the SEC
To Uncover Bernard Madoff's Ponzi Scheme
-
August 31, 2009
Chairman Schapiro Issues Open Letter to Broker-Dealer CEOs
-
August 31, 2009
SEC Seeks Comment on Alternative Uptick Rule
-
August 17, 2009
Announcement From the SEC Investor Advisory Committee
-
July 29, 2009
SEC Proposes Measures to Curtail "Pay to Play" Practices
-
July 22, 2009
SEC Announces Creation of Investor Advisory Committee -
June 2009
FINRA INVESTOR ALERTS - Frauds and Scams
|