Hedge fund and private equity managers can expect increased attention from the Securities and Exchange Commission, as the agency builds staff expertise in both asset classes and the regulator takes...
March 18, 2013
Two affiliates of S.A.C. Capital Advisors on Friday agreed to pay an aggregate $616 million to settle SEC insider trading charges.
March 15, 2013 | 04:37 pm
Mary Jo White, whose confirmation as the next chairwoman of the Securities and Exchange Commission is widely expected, told the Senate Banking, Housing, and Urban Affairs Committee on Tuesday that...
March 12, 2013 | 02:50 pm
Oppenheimer Asset Management and Oppenheimer Alternative Investment Management have settled with the SEC over charges that the firms inflated the value of a private equity fund's holdings, causing...
March 11, 2013 | 03:56 pm
The state of Illinois reached a settlement with the SEC on Monday over charges that its pension fund shortcomings misled municipal bond investors.
March 11, 2013 | 03:50 pm
The Supreme Court Wednesday rebuffed efforts to make stock-loss class-action lawsuits more difficult to start, siding with an investor group led by the $24.3 billion Connecticut Retirement Plans &...
February 27, 2013 | 03:37 pm
The SEC issued a proposed plan for distributing $23 million to some institutional clients of BNY Mellon Securities harmed by cross trades that favored some hedge fund customers.
February 11, 2013 | 04:02 pm
George S. Canellos was named acting director of the SEC's enforcement division, Thursday.
January 31, 2013 | 04:26 pm
Mary Jo White was nominated Thursday by President Barack Obama as chairwoman of the Securities and Exchange Commission.
January 24, 2013 | 04:14 pm
After years of waiving fees on money market funds and only recently dodging proposals abandoned by the SEC in August that would have required funds to adopt a floating net asset value or establish a...
January 24, 2013 | 12:18 pm
Mary L. Schapiro, who stepped down last month as chairman of the Securities and Exchange Commission, had a four-year tenure marked by significant accomplishment.
January 21, 2013
David Grim was appointed deputy director of the SEC's Investment Management Division on Tuesday.
January 15, 2013 | 03:16 pm
Robert Khuzami will step down as enforcement director at the Securities and Exchange Commission at the end of January.
January 09, 2013 | 03:39 pm
A bid by SEC regulators to have unlimited time to seek civil penalties met with skepticism from U.S. Supreme Court justices Tuesdayin a case brought by a former portfolio manager and former chief...
January 08, 2013 | 04:17 pm
Fiduciary Asset Management and Claymore Advisors will pay up to $47 million to settle SEC charges that the firms failed to inform investors about the derivative strategies of a closed-end mutual fund ...