The SEC’s 2010 restructuring of its Enforcement Division has resulted in the agency taking on more complex cases with a new level of expertise. 

The SEC has hired specialists, including highly educated analysts who understand quantitative and high-frequency trading to assist the SEC with its enforcement investigations.  The experts act in both the SEC’s enforcement

The SEC’s Division of Investment Management has publicly stated that it will review the regulations relating to the Investment Advisers Act of 1940 given the large influx of new RIAs as a consequence of the registration of hedge and private equity fund managers.

These new RIAs, now, account for roughly 40% of all RIAs.  IM is looking

One of the more anticipated and debated outgrowths of the Dodd-Frank Act was the designation of a self-regulatory organization responsible for investment advisers.  Yet, it has recently been reported that this issue is dead for the current Congressional session, although likely to come back again.

The only consensus thus far is that the SEC is

In a speech by SEC Commissioner Elisse B. Walter, the SEC, apparently, is indicating a significant shift in its view of cross-border cooperation. 

Over many years, the SEC has been viewed as the nearly primary global regulator of the securities markets.  Although this sentiment is not always shared by our brethren overseas, it has been, frankly, a

Apparently, despite the Inspector General change, the SEC continues to be beset by problems with its internal operations that its Inspector General has recently pointed out.  The OIG has detailed in several reports problems relating to privacy violations as well as building security issues, among other areas.  Additionally, the OIG has indicated that it will be releasing several

Despite the fact people are still unemployed, the drought rages and farmers suffer, and the deficit continues to grow, Congress seems to float absurd legislation across the partisan divide to regulate the regulators and the market.

In particular, the House passed a bill that would tighten the cost-benefit analysis for both the SEC and CFTC

Apparently, despite requiring public companies and regulated entities to prepare for business disruptions, the SEC’s house does not seem to be in order.

In a recent report, the SEC was criticized for not having a comprehensive business disruption program, and allowing certain important activities to be at risk if there was a business disruption.  For example, the SEC

Chairman Ketchum is seeking new areas of growth for FINRA.  At FINRA’s annual meeting, Ketchum stated that he wanted to see FINRA take on the role as regulator for both retail professionals and institutions.  He also wants greater market transparency through the use of audited quote and trade systems.  Ketchum stated that he wants to see investors increase

Yogi Berra’s famous quote seems like it was written for SEC Enforcement Division Director Robert Khuzami, and what has become his all too frequent outcry regarding lawyers who practice before the SEC.  He claims that attorney misconduct is occurring frequently enough that he has to raise these issues once again.  Khuzami claims that problematic attorney