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By Jay Gould |
April 18, 2013
There are a number of ways to become entangled in broker dealer registration requirements that many private equity funds (and some hedge funds) will need to consider.
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By Alex Wayne and Drew Armstrong |
April 17, 2013
A U.S. senator’s review of a possible leak of market-moving info has stalled over a gray area of law and regulation.
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By Press Release |
April 15, 2013
The SEC charged a prominent Denver-based businessman with insider trading based on information he obtained from the CEO of an oil and gas company.
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By Elizabeth Wasserman, Bloomberg |
April 10, 2013
A U.S. Senate leader asked the new Securities and Exchange Commission chairman to give more authoritative guidance to companies on disclosing cyber attacks, saying reporting so far is “insufficient.”
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By Nina Mehta |
April 9, 2013
U.S. exchanges and some brokers will be required to conduct coordinated trading tests to show they can recover from natural disasters.
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By Jay Gould |
April 8, 2013
David Blass put hedge fund managers and private equity fund managers on notice that they may be engaged in unregistered (and therefore, unlawful) broker dealer activities as a result of the manner by which hedge fund managers compensate their personnel.
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By Dave Michaels, Bloomberg |
April 8, 2013
The U.S. Senate confirmed Mary Jo White to lead the Securities and Exchange Commission, putting the former U.S. attorney in charge of an agency that has failed to satisfy critics with its response to the financial crisis.
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By Nina Mehta and Lindsey Rupp, Bloomberg |
April 8, 2013
Trying to reduce market disruptions, regulators are instituting a plan that creates price bands in which shares are allowed to trade on American equity exchanges, replacing the old system of immediate pauses when shares swing rapidly.
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By Press Release |
April 4, 2013
The SEC has streamlined the process for rulemaking by clearing agencies that are registered with both the SEC and the CFTC.
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By Dave Michaels and Jesse Hamilton |
April 3, 2013
Mary Schapiro’s decision to join Promontory Financial Group LLC after running the SEC amplifies the firm’s advantage as an employer of former regulators.
