News - Articles

 

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