Securities and Exchange Commission

• SEC Charges China Affiliates of Big Four

  By Joshua Gallu, Bloomberg  |  December 3, 2012

  China-based audit firms are withholding documents, agency says.

• Treasury’s Miller Drops Out of SEC Race (NY Times)

  November 29, 2012

  Sallie Krawcheck, Finra’s Ketchum seen as possible contenders for SEC chairmanship.

• New SEC Head Faces Big Challenges (Reuters)

  November 27, 2012

  Agency still grappling with Dodd-Frank rules, money fund revamp, computerized trading.

• SEC Chairman Schapiro to Step Down

  By Joshua Gallu, Robert Schmidt and Jesse Hamilton, Bloomberg  |  November 26, 2012

  Obama names SEC Commissioner Elisse Walter to replace Schapiro as chairman.

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  Guidance on Bribery Law Leaves ‘Gray Areas’

  By Dave Lindorff  |  November 19, 2012

  SEC and Justice Department issue a 120-page guide to FCPA. (Michelle Shapiro of SNR Denton)

• SEC Cites Problems at Rating Agencies (Reuters)

  November 16, 2012

  Annual review says some agencies failed to disclose method changes or lagged in downgrading securities.

• BP To Pay $4 Bln Fine to Justice Department

  By Phil Mattingly, Bloomberg  |  November 15, 2012

  Oil company will also pay $525 mln fine to SEC to settle charges for 2010 oil spill.

• SEC Considers More Disclosure on Political Spending (NY Times)

  November 14, 2012

  Disclosing political contributions is most popular topic for shareholder proposals in recent years.

• Reserve Fund Founder Bruce Bent Cleared of All Charges

  By Patricia Hurtado and Christopher Condon, Bloomberg  |  November 13, 2012

  Bent's son found liable on one claim of violating a securities law.

• Regulators Cool to Money Fund Industry’s Proposal (WSJ)

  November 9, 2012

  Industry suggests imposing fee on fund withdrawals in times of stress.