Archive
Registration
Governance
OCIE’s Director Speaks about Compliance Incentives
November 04, 2008
On Thursday, October 30, Lori Richards, Director of the SEC's Office of Compliance Inspections and Examinations, addressed the 2008 Willamette Securities Regulation Conference about ways to foster, and create incentives for, strong compliance. Richards started off the substance of her address by listing three conditions… read more
Board Duties Under the Temporary Guarantee Program for Money Market Funds
September 30, 2008
The U.S. Department of the Treasury has released form documents and instructions for its Temporary Guarantee Program for Money Market Funds. Money market funds that wish to participate in the Guarantee Program must deliver completed documents and pay the applicable Program Participation Payment… read more