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.
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By Staff WriterThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
August 07, 2006
CalPERS Adds Former SEC Chair's Hedge FundRichard 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 07, 2006
Hedge Fund Adviser Registration Tops 2,000 Post-GoldsteinThe registry rolls are swelling at the U.S. Securities and Exchange Commission.
August 03, 2006
The Lightning RoundThe SEC is moving forward at lightning speed, from a July Request for Information (RFI), to a Request for Proposals (RFP) due August 24th for the first leg of a major SEC study of how the different regulatory rules and entities for brokers and investment advisors affect ordinary investors.
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...