Sec

Latest Articles

SEC Revives Proposed Central Database for Trading Data

Rich Blake

SEC Rewards More Cooperation

Stephen Taub

SEC Roundtable to Address Trading Glitches

Charles Wallace

SEC Seeks More Derivatives Oversight

SEC Seeks Public Feedback On Financial Reform Initiatives

Stephen Taub

SEC Settles Insider Trading Charges With Pequot and CEO Samberg

Stephen Taub

SEC Steps In on RIA Succession Planning

Kaitlin Ugolik

SEC to Address 'Empty Voting'

Stephen Taub

SEC Top Cop Robert Plaze Fights Back

Rich Blake

SEC Whistleblower Rule: Good Intentions But Bad Consequences

Michael F Perlis and Wrenn E Chais

SEC's Canellos talks tough on regulation

SEC's Goldman Complaint Draws Attention to ACA Management

Rich Blake

SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare?

Ed McCarthy

Sponsored Access Regulation and Market Fairness: Don’t Throw the Baby Out with the Bathwater

Harrell Smith

Stepping Up SEC’s Enforcement Activity

Stephen Taub

Targeting transparency

2014-02-jeffrey-kutler-trading-tech-40-gregg-berman-small.jpg

The 2014 Trading Technology 40: Gregg Berman

Ben Baris

Government Shutdown Begins as Congress Divides on Spending

The ABCs of Dealing with BDCs

Eyal Seinfeld

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