Tag: SEC

The SEC has adopted rule changes that will shorten the standard settlement cycle for US stocks from two days (T+2) to T+1. The reforms...

The Securities & Exchange Commission (SEC) voted to undermine the shareholder resolution process and thereby the ability of investors to pressure corporations to be...

New SEC Framework Signals the SEC is Open to Recognizing that Tokens Are Not Securities, But Does Little to Advance Clarity On Wednesday, April 3,...

Starting a hedge fund requires substantial capital, covering regulatory compliance, legal fees, staffing, and more. With potential first-year costs nearing £1.7 million for even...

Today, the Alternative industry and special the Hedge Fund industry has come a long way from what it was in the 1950s when it...

by Timothy Mohr, Principal & National Financial Services Advisory leader, BDO Consulting The hedge fund industry is undergoing a period of immense and rapid change....

In March 2013, the Securities and Exchange Commission (SEC) proposed new rules designed to strengthen the technology infrastructure of certain participants in U.S. securities...

A December 2013 survey polled hedge-fund managers as to which regulators posed the greatest challenge for compliance dollar costs and difficulty in satisfying the...

America’s second largest bank was suspended from trading in hedge funds last summer by the Securities and Exchange Commission (SEC) as part of a...

In the wake of increased hedge fund and private-equity fund registration as mandated by the Dodd-Frank Wall Street Reform Act, the Securities and Exchange...

The Public Company Accounting Oversight Board (PCAOB) — a non-profit corporation created by the Sarbanes-Oxley Act of 2002 — was established to oversee accounting...

One of the salient regulatory rules to emerge from the Dodd-Frank Wall Street Reform Act was the “custody rule” mandating that an investment adviser...

Six federal agencies have approved the final rule requiring sponsors of securitization transactions to retain risk in those transactions. The rule is an implementation...

Much hype has surrounded the outreach efforts of the Securities and Exchange Commission (SEC) to “engage” the private fund industry. The campaign supposedly is...

Sometimes people use the terms hedge funds and mutual funds interchangeably, which is incorrect as they have some marked differences between them.  First, let’s...

In 2012, the U.S. Congress passed the Jumpstart Our Business Startups Act (JOBS Act) that enhanced the ability of startup entrepreneurs and those growing...

  A former hedge fund manager has been ordered to pay more than $358 million in a Securities and Exchange Commission (SEC) lawsuit that charged...

The Securities and Exchange Commission (SEC) has announced an enforcement action against an online brokerage for allegedly having violated their “gatekeeper” obligations by engaging...

The Municipal Securities Rulemaking Board (MSRB) is a congressionally chartered regulatory organization governed by a 21-member board of directors and is subject to oversight...

The Securities and Exchange Commission (SEC) is considering new rules for oversight and stress testing of the asset management industry. In response to concerns...

America’s second largest bank has been charged with violating federal securities laws based on alleged overstatement of regulatory capital. The Securities and Exchange Commission...

The Dodd-Frank Wall Street Reform Act of 2010 (Dodd-Frank) empowered the Securities and Exchange Commission (SEC) to extend monetary awards to whistleblowers who provide...

]What Are Hedge Funds and Why They Are So Popular? A hedge fund is simply a fund that enables the investor to generate a healthy...

Did a Washington securities research firm illegally obtain information about an imminent government health care policy change? Did hedge funds knowingly trade on such...

The Securities and Exchange Commission (SEC) has charged a Minneapolis hedge fund manager, his investment advisory firm and an employee with multiple counts of...