securitiesdocket.com - 7/1/2009
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Congressman Paul E. Kanjorski, the Chairman of the House Financial Services Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises, released a letter today from the SEC’s Inspector General, H. David Kotz, in which the inspector general responds to Chairman ...
SEC Self-Funding: The Time Has Come
feedproxy.google.com 9/9/2009 — B. Carton
As I argued in this column last month, the Securities and Exchange Commission budget has been well below where it should be for several years. This shortfall has caused the SEC to suffer a 10 percent reduction in staff and a cut of more than 50 percent in its new technology ...
SEC Heal Thyself: Compliance Program Revamped
securitiesdocket.com 6/9/2009 — The Securities and Exchange Commission just hasn’t had enough bad news recently, so last month the media piled on even more: a probe of insider-trading allegedly going on inside the SEC.
Specifically, the agency’s inspector general has found evidence of “suspicious activity, appearances of ...
Today’s Testimony of SEC Chairman Mary Schapiro Before Senate Subcommittee
securitiesdocket.com 6/2/2009 — Today, SEC Chairman Mary Schapiro testifies before the U.S. Senate Committee on Appropriations’ Subcommittee on Financial Services and General Government. A copy of her prepared testimony is available here. Key sections of her testimony are laid out below:
»»REINVIGORATING SEC ...
Specialization Key to SEC Enforcement Division Overhaul
securitiesdocket.com 5/5/2009 — by Bruce Carton
In a column last month, I noted the arrival of a new Securities and Exchange Commission enforcement director, Robert Khuzami (pictured below). I suggested that Khuzami had to hit the ground running and discussed the flood of suggestions from within the SEC and from the outside ...
Fiscal Year 2009: The SEC’s Year from Hell
securitiesdocket.com 10/14/2009 — For the Securities and Exchange Commission, which operates on a fiscal year that ends every September, Oct. 1, 2009, could not come soon enough. It seems almost beyond dispute that the agency’s fiscal 2009 was the most dismal in its history, and perhaps the most transformational.
Now it ...
Fixing the SEC
ritholtz.com 10/1/2009 — The problems at the SEC were decades in the making.
Essentially the largest prosecutor’s office in the country, they have been undercut at every turn: Their staffing was far too small to handle the jurisdiction (Wall Street and corporate ...
How the New SEC Enforcement Director Can Help Restore Investor Confidence
securitiesdocket.com 4/14/2009 — by Bruce Carton
Robert Khuzami began his new job as director of the Enforcement Division at the Securities and Exchange Commission on March 30. His arrival marks the first change in leadership for the Enforcement Division since 200
Khuzami joins the SEC from Deutsche Bank AG in New York, ...
The SEC
blogmaverick.com 11/30/2008 — First let me say that this has nothing to do with me, but given my interest in all things financial and the government during this financial crisis, I read with interest the Office of Inspector General’s Report to Congress regarding the SEC.
...
On SEC Funding, Congress Must Put Up or Shut Up (or Give Up and Allow Self-Funding)
securitiesdocket.com 8/11/2009 — Back in January, U.S. Rep. Gary Ackerman (D-N.Y.) was recognized to speak at a House sub-committee hearing about the Madoff Ponzi scheme and the need for better regulatory oversight to prevent such fraud. He promptly lashed out at a witness from the Securities and Exchange Commission, stating: ...
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