BROWSE BY TOPIC
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
Welcome to the Securities and Exchange Commission
Maurya Keating has left AXA Equitable Life Insurance to join the SEC, where she will serve as an Associate Regional Director for the Investment Adviser and Investment Company examination program in New York City.
Ms. Keating most recently served as a Lead Director/VP & Associate General Counsel of AXA, where she spent the past 13 years. She also served as Investment Advisor CCO for the firm’s retail platform. During her tenure at AXA, Ms. Keating focused on securities, investment advisory, and insurance legal matters, had overall responsibility for the firm’s compliance program, and managed its on-site SEC and FINRA examinations.
Prior to joining AXA, Ms. Keating served as:
- Associate General Counsel at New York Life Insurance from 2001 to 2005;
- Associate General Counsel at Royal Alliance Associates from 1995 to 1997.
She earned her BA and MA degrees from The Catholic University of America and her Juris Doctorate degree from St. John’s University.