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: NASD, SEC and Regulatory Defense Blog

Rocky Mountain Securities Conference to Highlight SEC?s Reaction to the Economic Crisis

By Michael MacPhail, Esq.

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            The forthcoming Rocky Mountain Securities Conference, to be held in Denver on May 8, 2009, will yield important information about the SEC?s two-pronged response to the economic crisis. On the regulatory side, the SEC has proposed requiring audits of investment advisers with custody of client assets, self-certification of the internal controls relating to such assets, registration and inspection of hedge funds, and strengthening the regulation of money market funds. On the enforcement side, the SEC is bringing a large number of Ponzi scheme cases and seeking an unprecedented number of temporary restraining orders. Further, the agency intends to request authority to compensate whistleblowers who provide ?well-documented evidence of fraudulent activity...continue to full post

Full post as published by NASD, SEC and Regulatory Defense Blog on April 03, 2009 (boomark / email).

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