SEC
SEC makes strides to strengthen oversight
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
SEC settles with hedge fund managers on insider trading charges
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
Likely SEC chairwoman pledges more rule-making and enforcement
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 paying investors in SEC settlement over valuation issue
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
Illinois settles with SEC over pension funding disclosure in bond offerings
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
Supreme Court rules on class action, Gabelli cases
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
SEC proposes BNY Mellon pay $23 million cross-trading settlement
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
SEC names acting enforcement director to replace Khuzami
George S. Canellos was named acting director of the SEC's enforcement division, Thursday.
January 31, 2013 | 04:26 pm
Obama nominates former federal prosecutor as SEC chairwoman
Mary Jo White was nominated Thursday by President Barack Obama as chairwoman of the Securities and Exchange Commission.
January 24, 2013 | 04:14 pm
Money market inflows poised to rebound
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
Schapiro legacy a tougher stance on ESG issues
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
SEC selects deputy director for investment management
David Grim was appointed deputy director of the SEC's Investment Management Division on Tuesday.
January 15, 2013 | 03:16 pm
SEC enforcement chief Khuzami departs
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
Supreme Court hears arguments in Gabelli case on SEC enforcement clock
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, Claymore Advisors settle with SEC over failed mutual fund
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 ...
