OTC Capital Partners » Securities And Exchange Commission

SEC weighs two money market fund proposals

Reuters: Business News — Wed, 08 Feb 2012 08:01:20 +0000

(Reuters) – The chairman of the Securities and Exchange Commission is eyeing two potential plans to bolster the stability of money market funds, but their fate remains uncertain due to internal disagreement at the SEC over the need for more regulations.

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SEC’s Gallagher wants more oversight of brokers

Reuters: Business News — Wed, 08 Feb 2012 08:00:19 +0000

WASHINGTON (Reuters) – Congress made a mistake when it stripped away most of the Securities and Exchange Commission’s authority to police the holding companies of broker-dealers for risks, according to the SEC’s newest commissioner.

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SEC to propose new rules for money-market funds: report

Reuters: Business News — Tue, 07 Feb 2012 10:20:41 +0000

(Reuters) – The Securities and Exchange Commission (SEC) will unveil proposals aimed at stabilizing money-market funds in the event of another financial panic, the Wall Street Journal reported on Tuesday, citing people familiar with the matter.

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SEC’s Gallagher wants more oversight of brokers

Reuters: Business News — Tue, 07 Feb 2012 02:10:52 +0000

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Update: PCAOB Board Appointment Catches Some Heat

admin — Mon, 06 Feb 2012 20:04:30 +0000

The Securities and Exchange Commission has appointed Jeanette Franzel to sit on the board of the Pub…
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SEC Puts 26 Companies, Mostly from China, On Notice For Possible Deregistration

admin — Fri, 03 Feb 2012 10:24:00 +0000

The Securities and Exchange Commission put 26 companies, 21 of which are from China, on administrati…
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SEC Names Maloney as Interim Inspector General

The PIPEs Report — Mon, 30 Jan 2012 13:24:00 +0000

Noelle Maloney was named interim inspector general of the Securities and Exchange Commission while t…
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Exiting watchdog sees flaws in SEC’s rulewriting

Reuters: Business News — Sat, 28 Jan 2012 05:21:21 +0000

WASHINGTON, DC (Reuters) – In his final act before departing the Securities and Exchange Commission on Friday, the agency’s inspector general, David Kotz, criticized how the agency analyzes the economic impact of some of its Dodd-Frank rules.

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SEC Inspector General Kotz leaving agency

Reuters: Business News — Wed, 18 Jan 2012 02:10:55 +0000

WASHINGTON (Reuters) – David Kotz, the tough internal watchdog at the Securities and Exchange Commission, is leaving the agency at the end of January to join a private investigative service.

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SEC Inspector General Kotz leaving agency

Reuters: Business News — Tue, 17 Jan 2012 22:50:54 +0000

WASHINGTON (Reuters) – David Kotz, the tough internal watchdog at the U.S. Securities and Exchange Commission, is leaving the agency at the end of January, the SEC said on Tuesday.

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