Division of Trading and Markets

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  Is 2013 the Year of Actively Managed ETFs?

  By Gil Weinreich, AdvisorOne  |  February 8, 2013

  PIMCO star manager Bill Gross’ bond ETF went from zero to nearly $4 billion in AUM in a matter of months. Will a recent regulatory change add to his competitors?

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  As Schapiro’s Departure Nears, Other SEC Execs Resign

  By Melanie Waddell, AdvisorOne  |  December 5, 2012

  Within the last two days, three top executives at the agency have announced their planned departures: Robert Cook, Meredith Cross and Mark Cahn.

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  House Republican Calls SEC Security Breach ‘Frightening’

  By Melanie Waddell, AdvisorOne  |  November 30, 2012

  Texas Republican Neugebauer calls episode involving unencrypted laptop use by SEC staffers a "frightening lapse of judgment."

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  MSRB Names Goldsholle General Counsel

  By Melanie Waddell, AdvisorOne  |  September 20, 2012

  Goldsholle, currently with FINRA, will oversee legal activities including market regulation, professional qualifications, enforcement support and corporate governance.

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  Plaze to Leave SEC as Cross Joins Agency

  By Melanie Waddell, AdvisorOne  |  August 2, 2012

  The SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agency’s new Office of Municipal Securities.

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  SEC Slaps OptionsXpress Again, This Time for Delisted Trading

  By John Sullivan, AdvisorOne  |  April 19, 2012

  This is the second spate of bad news for the company in as many days.

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  Senate to Grill SEC Chiefs at Oversight Hearing

  By Melanie Waddell, AdvisorOne  |  November 10, 2011

  A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.

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  Real SEC Reform or Half Measure?

  By Robert Bloink, Esq., LL.M., William H. Byrnes, Esq.  |  August 24, 2011

  Does the SEC Modernization Act have a real shot at bringing 'comprehensive reform' to the SEC?

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  Despite Fiduciary Critics, Schapiro and Borzi Charge Ahead

  By Melanie Waddell, AdvisorOne  |  August 24, 2011

  Two of the nation’s top regulators—Mary Schapiro and Phyllis Borzi—continue to face a barrage of criticism over their decision to do what they believe is best for investors: expanding the definition of who’s a fiduciary.