John Walsh

• SEC Criticized for Madoff

  By Melanie Waddell, AdvisorOne  |  October 1, 2009

  Congress wasted little time in taking SEC officials to task after the securities watchdog's inspector general released September 2 a scathing report on the SEC's...

• A Less Scary SEC?

  By Elizabeth D. Festa  |  April 1, 2006

  When the talk turns to Securities and Exchange Commission examinations and inspections, advisors tend to take notice. How can they do otherwise? The SEC conducted...

• An End to Policy-Making by Enforcement?

  By Elizabeth D. Festa  |  March 6, 2006

  SEC's Atkins vows more oversight on sweep exams

• B/D Report: Hot Topics at New Group's First Meeting

  By Staff Writer  |  January 26, 2004

  Compliance, money, and changes at the FPA generate buzz at meeting of Financial Services Institute