Norm Champ moved around a lot before landing at his current job as the SEC's director of the investment management division, and that's good thing.
May 13, 2013 | 12:01 am
Bruce Karpati is stepping down as chief of the SEC enforcement division's asset management unit, the agency announced Thursday.
May 09, 2013 | 03:48 pm
Philip Falcone, the hedge fund manager who was sued by U.S. regulators over claims he improperly borrowed client money to pay taxes, has agreed to be barred from acting as an investment adviser for...
May 09, 2013 | 11:52 am
Level Global Investors will pay $21.5 million to settle charges that a top official and several analysts engaged in repeated insider trading. The SEC announced the settlement with the Greenwich, Conn....
April 29, 2013 | 04:33 pm
SEC chairwoman Mary Jo White is pushing to adopt a rule allowing hedge funds to advertise in a move consumer advocates say could fail to protect unsophisticated investors, according to two people...
April 26, 2013 | 03:25 pm
SEC Chairwoman Mary Jo White named Andrew J. Ceresney co-acting director of the agency's enforcement division Monday.
April 22, 2013 | 03:59 pm
The SEC charged the CEO of Simran Capital Management on Thursday with defrauding CalPERS and lying to other potential clients, according to an SEC news release.
April 18, 2013 | 01:59 pm
A former Canadian investment banker who consulted the C$172.6 billion (US$168.8 billion) Canada Pension Plan Investment Board, Toronto, on investment ideas will pay $340,000 to the SEC to settle...
April 16, 2013 | 02:34 pm
The SEC should revisit its proposed rule on target-date funds, the agency's investor advisory committee recommended at its meeting Thursday.
April 12, 2013 | 04:00 pm
TIAA-CREF officials are asking the SEC to allow it to take no action on a shareholder proposal by activist group Jewish Voice for Peace that would require it to consider divesting from companies that ...
April 10, 2013 | 06:06 pm
The Senate confirmed Mary Jo White as a commissioner with the Securities and Exchange Commission Monday. President Barack Obama is expected to name her as chairwoman shortly.
April 08, 2013 | 03:59 pm
S.A.C. Capital Advisors fund manager Michael Steinberg was indicted by a federal grand jury on five counts of conspiracy and securities fraud as the U.S. government’s wide-ranging probe of...
March 29, 2013 | 12:40 pm
John Johnson, chief investment officer of the $6.5 billion Wyoming Retirement System, Cheyenne, has been placed on administrative review leave after pleading guilty to SEC charges of ...
March 27, 2013 | 04:29 pm
Mary Jo White was confirmed to be the next chairwoman of the Securities and Exchange Commission by the Senate Banking, Housing, and Urban Affairs Committee on Tuesday.
March 19, 2013 | 12:44 pm
Hedge fund and private equity managers can expect increased attention from the Securities and Exchange Commission, as the agency builds staff expertise in both asset classes and the regulator takes...