SEC

SEC money market rules vote set for July 23

SEC money market rules vote set for July 23

Much-anticipated reforms for money market funds from the Securities and Exchange Commission will be decided at an open meeting July 23 in Washington.

July 17, 2014 | 02:59 pm
First SEC case on pay-to-play sends a message

First SEC case on pay-to-play sends a message

The first enforcement case brought under the SEC's pay-to-play rules has increased awareness of the extent of the regulations, and their impact on managers and investors.

July 07, 2014
SEC files Wells notice against BlackRock

SEC files Wells notice against BlackRock

The Securities and Exchange Commission is recommending that action be taken against BlackRock subsidiary BlackRock Advisors, an 8-K filing from BlackRock on Friday said.

June 27, 2014 | 05:07 pm
SEC expands its cross-border swaps rules

SEC expands its cross-border swaps rules

The SEC on Wednesday voted to extend its cross-border securities-based swap rules to include transactions executed by foreign divisions of U.S. banks when an affiliate’s trades are legally...

June 25, 2014 | 03:43 pm
Transparency could guide SEC trading agenda

Transparency could guide SEC trading agenda

Increasing the transparency of prices and potential conflicts of interest in institutional trades in dark pools and automated trading systems will drive the SEC's policy agenda for the next several...

June 23, 2014
SEC settles first case under pay-to-play rules

SEC settles first case under pay-to-play rules

TL Ventures Inc. will pay $300,000 to settle “pay-to-play” charges announced Friday by the SEC.

June 20, 2014 | 02:26 pm
SEC settles with Paradigm over prohibited transaction, whistle-blower retaliation claims

SEC settles with Paradigm over prohibited transaction, whistle-blower retaliation claims

Paradigm Capital Management and founder Candace King Weir agreed to pay $2.2 million to settle charges that it engaged in prohibited transactions and retaliation against an employee whistle-blower,...

June 16, 2014 | 02:36 pm
Investors may get more fee  info from GPs

Investors may get more fee info from GPs

Private equity general partners, spurred by a speech by the SEC's chief of compliance inspections, are reviewing fee practices they had not specifically disclosed to limited partners.

June 09, 2014
Liquidnet settles with SEC over charges of misusing confidential customer info

Liquidnet settles with SEC over charges of misusing confidential customer info

Liquidnet reached a $2 million settlement with the SEC over charges that the institutional dark-pool operator used subscribers’ confidential information to market its services, the SEC said...

June 06, 2014 | 01:36 pm
SEC chairwoman outlines proposals for dark pools, HFT

SEC chairwoman outlines proposals for dark pools, HFT

The SEC will consider requiring more disclosure of institutional trades made through dark pools and other automated trading systems, and require high-frequency traders to register as broker-dealers,...

June 05, 2014 | 03:20 pm
SEC names enforcement division deputy director

SEC names enforcement division deputy director

Stephanie Avakian was named deputy director of the SEC’s enforcement division Thursday.

May 30, 2014 | 11:24 am

SEC judge bans money manager for misleading Morningstar, investors

An SEC judge this week banned a Florida money manager from the securities industry and required him and his firm to pay a fine totaling $660,000 for “misleading” research firm Morningstar ...

May 29, 2014 | 03:36 pm
 SEC Chairwoman White discusses money market reform, FSOC at ICI conference

SEC Chairwoman White discusses money market reform, FSOC at ICI conference

New rules imposing safeguards on money market funds will be out “in the very near term,” SEC Chairwoman Mary Jo White said Thursday at an Investment Company Institute conference in...

May 22, 2014 | 12:42 pm
Corporate tax strategies threaten wealth creation

Corporate tax strategies threaten wealth creation

Google Inc. shareholders May 14 rejected by a 93% vote a proposal sponsored by my firm, seeking the adoption of a responsible code of conduct to guide the company's global tax strategies. I suspect...

May 14, 2014 | 04:35 pm

SEC sees illegal or bad fees in 50% of buyout firms examined

U.S. regulators found illegal collections of fees or severe compliance shortfalls in more than half of the private equity firms it has examined since 2012, a Securities and Exchange Commission...

May 06, 2014 | 03:31 pm