Sec

Latest Articles

European Money Market Funds Resist Regulatory Pressure

David Turner October 2, 2013

ETF Trade Settlement Risk Raises Its Head Again

Barry J Whyte August 14, 2013

New SEC Ruling Plays It Safe on Corporate Disclosure Via Social Media

Frances Denmark April 29, 2013

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Schapiro Took a Tough Approach to Hedge Fund Rogues

Stephen Taub November 27, 2012

Closer SEC scrutiny of Dark Pools

Katherine Heires November 8, 2012

SEC Roundtable to Address Trading Glitches

Charles Wallace September 13, 2012

The Trouble with Lockups

Udayan Gupta September 11, 2012

High Valuations Didn’t Tank Tech IPOs

Udayan Gupta August 30, 2012

Form PF Filing Deadline Concentrates Hedge Fund Managers’ Minds

Janice Fioravante August 27, 2012

Copper Users Seek to Block JPM and BlackRock ETFs

Rosalyn Retkwa August 1, 2012

SEC Punts on Payments to ETF Market Makers

Rosalyn Retkwa July 18, 2012

No Sympathy for Investors Fooled by Outlandish Scams

Stephen Taub June 25, 2012

JOBS Act’s Hedge Fund Ads Will Hammer Unsophisticated Investors

Stephen Taub June 15, 2012

Investment Advisers Object to New Regulatory Regime

David Adler June 15, 2012

Money Market Rule Compromise Seen

Thomas Saler June 2, 2012

SEC Rewards More Cooperation

Stephen Taub April 13, 2012

SEC in Retreat Over Money Fund Rules

Rosalyn Retkwa April 9, 2012

Exchanges Seek to Profit from Pretrade Risk Management

Loch Adamson April 9, 2012

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