SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
CalPERS Adds Former SEC Chair's Hedge Fund
By Staff WriterRichard Breeden's activist hedge fund firm has been allocated $400 million as part of the California Public Employees' Retirement System's corporate governance portfolio.
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...
August 01, 2006
Will the SEC Appeal?A question on everyone's mind these days is whether the Securities and Exchange Commission will appeal the recent federal appeals court ruling that overturned the...
July 31, 2006
No-Show Hedge Fund Faces Court Judgment, FinesWALTHAM, Mass. (HedgeWorld.com)--A hedge fund manager has been ordered to pay $21 million in disgorgement and prejudgment interest following the firm's failure to appear and respond to the Securities and Exchange Commission's allegations. The SEC won a default judgment against the adviser Groundswell Partners LLC, barring the hedge fund firm...
July 24, 2006
Money Manager Settles SEC Market-Timing CaseA Kansas fund company has agreed to pay a total of $57 million to settle investigations concerning allegations that the company failed to stop speculators ...
July 24, 2006
Money Manager Settles SEC Market-Timing CaseA Kansas fund company has agreed to pay a total of $57 million to settle investigations concerning allegations that the company failed to stop speculators ...