As a result of conclusions from a recent study by Woodbine Associates, Senator Charles Schumer wrote to SEC Chairman Schapiro requesting that the SEC take action to ensure that brokerages
Continue Reading Broker Routing Decisions; Are There Conflicts Of Interest
SEC Organization
IS IT POSSIBLE TO FIND CAPITAL FORMATION SUCCESS OVERSEAS?
By Fox Rothschild on
In its never ending quest to find suitable ways to address capital formation issues in the United States, the SEC’s Division of Corporation Finance is looking to see if foreign jurisdictions…
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FINRA As The SRO For RIAs, Not So Fast
By Joshua Horn on
The battle lines are being drawn over Congressman Bachus’ bill which would authorize one or more self-regulatory organizations for investments advisers. Many have believed that FINRA would be the obvious choice…
IS THE SEC COOKING THE BOOKS?
By Fox Rothschild on
Recently, SEC Chairman, Mary Shapiro, was called to task for the high number of reported administrative proceedings by Congress. In particular, the SEC was accused of reporting follow on administrative…
A Bill Is Pending That Backs An SRO for RIAs, Which May Be FINRA.
By Joshua Horn on
Congressman Bachus (R-Ala.) introduced a bill that would shift the oversight of registered investment advisers from the SEC to a self-regulatory organization that would report to the SEC. This development…
Continue Reading A Bill Is Pending That Backs An SRO for RIAs, Which May Be FINRA.
The SEC Is To Employ Cost-Benefit Analysis For Its Rule-Making
By Joshua Horn on
According to an internal SEC guidance report, the SEC is taking to heart the criticism that it does not employ enough of an economic analysis in its rule-making process. The…
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The SEC’s Reform Will Continue, But Not To The Same Degree
By Joshua Horn on
The Dodd-Frank Act directed the SEC to reform itself. In a recent report on its progress, the SEC stated that its efforts will be reduced in 2012. The SEC will focus on a limited…
Continue Reading The SEC’s Reform Will Continue, But Not To The Same Degree
The SEC Has New Toys, Big Brother Is Watching
By Joshua Horn on
Chairman Schapiro recently announced several technology enhancement initiatives that are designed to improve the SEC’s enforcement efforts and business practices. These initiatives were certainly designed to enhance the SEC’s ability…
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Dodd-Frank; Is It Doomed To Fail?
By Joshua Horn on
Much has happened in nearly one since since the Dodd-Frank Act became effective, and much more remains. According to the recent thoughts of one commentator, Kyle Colona of Compliance EX…
Fox Guarding Hen House? Chamber of Commerce proposals for SEC Overhaul.
By Fox Rothschild on
Although the report submitted by the United States Chamber of Commerce regarding an overhaul of the SEC will probably have no immediate effect, it does present several interesting specific recommendations…
Continue Reading Fox Guarding Hen House? Chamber of Commerce proposals for SEC Overhaul.