08/17/2010
The Commission announced Tuesday that its head of the Division of Investment Management, Andrew “Buddy” Donohue, will leave the agency this fall after serving four years as the division’s director. Donohue came to the agency in 2006 after spending a career on Wall Street. He oversees a division tha ...
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8/16/2010
It didn't take lawmakers long to try to amend the new financial regulatory reform law. A group of four senators - Democrats and Republicans - have submitted S3717, a bill that would remove a provision in the massive Dodd-Frank law granting new powers to the SEC relating to withholding materials unde ...
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7/19/2010
Gary Aguirre has been a thorn in the SEC's side since the Commission fired him in 2005. Last month the agency agreed to pay the former Enforcement Division attorney $755,000 to settle a claim of wrongful termination, according to the Government Accountability Project.The SEC declined to comment. Fou ...
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06/30/2010
A copy of the Senate's investigation into the SEC's handling of the Gary Aguirre case.
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06/08/2010
The SEC's proposal, released in June 2010, related to creating a consolidated audit trail that would, among other things, assist the SEC and SROs in overseeing compliance with securities rules.
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6/7/2010
A leak of confidential information about an SEC registrant to the Wall Street Journal has led to the agency's inspector general to call for the Commission's Office of Compliance Inspections and Examinations to institute a feature to track who plumbs the division's Intranet containing records of exam ...
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5/31/2010
Their respective staffs have put countless hours into understanding what caused the Dow's plunge on May 6 but a definite answer has proven elusive. At the first formal joint meeting of the SEC-CFTC Advisory Committee on Emerging Regulatory Issues May 24, the commissioners and committee members heard ...
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4/26/2010
The SEC has revamped how it handles whistleblowers with a centralized and dedicated system for tracking complaints (IA Watch, April 5, 2010). A newly released report by the SEC Inspector General confirms the Commission's previous problems with tips weren't limited to how the agency handled Harry Mar ...
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04/20/2010
This is a copy of an SEC Inspector General report, released via a Freedom of Information Act request by IA Watch, into allegations surrounding the Allied Capital Corporation. The formal title of the report is Allegations of Conflict of Interest, Improve Use of Non-Public Information and Failure to Take Sufficient Action Against Fraudulent Company. It was completed in January 2010.
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4/12/2010
Congressional legislation may energize the SEC's program to entice whistleblowers to come forward if new suggestions from the agency's Office of Inspector General don't. IG David Kotz recently released an Assessment of the SEC's Bounty Program.Kotz reports that in the 20 years of the program, only f ...
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