Just a few days earlier, SEC Chairman Christopher Cox said in a letter to Sen.
It is just an extension to the SEC Requiring a New ADV Part 2 Disclosure Form.
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No Taser, no high speed chase, just an SEC agent in the lobby with a stack of paper.
Let's have the SEC mandate a cost disclosure just like the efficiency sticker you get on an air conditioner.
James Cox, a Duke University law professor and expert on the SEC, predicted White will push the SEC away from "being just a tollkeeper" that collects settlements and make it a forceful agency that brings meaningful sanctions against senior individuals.
The SEC's actions would affect just a tiny slice of the U.S. capital market.
The issue becomes just the latest in a long list of issues the SEC is examining regarding the current U.S. market structure, right up there with high frequency trading, dark pools, flash trading, market access, and trade tracking and reporting.
Depending upon the dirty dancing between West Virginia and the Big East Conference, Missouri may have to wait just a little bit before getting down and dirty in the SEC.
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Crowdfunding portals should be required to register with the SEC as broker-dealers, just as if a third-party was facilitating a fundraise in the offline world.
Still, a week into this the SEC has been under just as much scrutiny as Goldman Sachs and has not received any serious body blows.
Wednesday's events come just a few weeks after federal prosecutors in San Francisco and the SEC charged two former top executives of Brocade Communications Systems with a scheme to backdate employee stock options.
Then again, some of those 10 schools could just as easily be absorbed into the SEC and the Big Ten to round out a radically reshaped landscape with four 16-team super conferences.
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Kind of like when the SEC notices that too many call options were purchased in a single account just prior to a buy-out or merger.
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During a public hearing Wednesday, the SEC commissioners said that would typically apply to just 1.3% of stocks in any given day during normal market conditions.
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Just as his case got going, the SEC filed civil stock fraud charges against Frank A. Dunn and three other former executives of Nortel Networks, the Canadian darling of the Internet stock bubble.
Just as his case got going, the SEC filed civil stock fraud charges against Frank A. Dunn and three other former executives of Nortel Networks (nyse: NT - news - people ), the Canadian darling of the Internet stock bubble.
The SEC released details of e-mails showing just how much influence Mr Quattrone, a banker, exerted over the supposedly independent research analysts.
The recitation of facts shows just how much a determined scamster can get away with in the public markets, especially when the SEC only pursues a fraction of these cases.
Many rules have come out of the Dodd Frank legislation, but the Volcker Rule was the one that prompted Occupy the SEC to weigh in on the regulatory debate, showing the rule is not just powerful as a profit killer, but also as a symbol of financial services reform.
Mr. LYNN TURNER (Former Chief Accountant, SEC): I would almost say that the title on the letter could just about be pick a number, any number.
The complaints have gotten a sympathetic ear on Capitol Hill, where lawmakers have just gotten a proposal by the Treasury Department for a sweeping overhaul of financial market regulation, including the merger of the SEC with the Commodities Futures Trading Commission and the reassignment of many of the SEC's enforcement duties to the stock exchanges and other self-regulatory agencies.
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