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.
Hedge Fund's Loss Prompts SEC Investigation
By Staff WriterNEW YORK (HedgeWorld.com)--Not quite two years have passed since Francis Saldutti sold his Ardent Capital Management's technology hedge fund to NorthShore Asset Management, Chicago. Now, though, a report in the Wall Street Journal says the Securities and Exchange Commission is probing a significant loss of money at the New York-based...
February 04, 2005
SEC Opens Door To XML DataNU Online News Service, Feb. 4, 2005, 4:20 p.m. ESTSecurities regulators want to see whether a new approach to identifying bits of electronic information ...
February 01, 2005
MFA to SEC: Limit Scope of Trade-Through RuleWASHINGTON (HedgeWorld.com)--The Managed Funds Association has commented on the U.S. Securities and Exchange Commission's reproposal of rules for the National Market System. Last spring, the SEC proposed a set of rules that elicited a great deal of comment. In reaction to some of the comment, the SEC revised the earlier...
January 27, 2005
Insurer Warns About Regulatory ActionsNU Online News Service, Jan. 27, 2005, 9:13 a.m. ESTHartford Financial Services Inc. says it continues to face investigations by the U.S. Securities and ...
January 24, 2005
Clearing Corporation Prefers Risk-Based Capital RatiosA group that helps process securities trades wants to change its membership standards for insurance companies.[@@]The group, the National Securities Clearing Corp., New York, ...
January 18, 2005
Seminar Probes Mysteries of SEC Registration RuleNEW YORK (HedgeWorld.com)--Now that registration with the Securities and Exchange Commission is the law of the land, it's time for hedge funds to grin and comply with it. But first they have to figure just what the SEC means by "comply." Divining the commission's intent was the goal of a...
January 01, 2005
Suggestions for Bush, and the SECLet's take a look at what some scholars are saying about President Bush's financial services agenda for his second term. Then let's move on to...
December 22, 2004
SEC Delays Final Decision on Merrill Lynch RuleCommission will re-open comment period; pledges final action by April 15