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Securities And Exchange Commission

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Portfolio
Hedge Fund Accused of Defrauding 9/11 Heroes
New York’s attorney general filed suit against RD Legal, accusing the hedge fund of “scamming” 9/11 compensation beneficiaries and NFL concussion victims.
Imogen Rose-Smith
February 7, 2017
SEC Chairman Mary Jo White Testifies Before Senate Banking Committee
Corner Office
Mary Jo White to Step Down as SEC Chair
As Donald Trump and the GOP prepare to take power, the Obama-appointed Securities and Exchange Commission boss’s legacy may be in doubt.
Frances Denmark
November 15, 2016
Financial Stock Market Data. Candle Stick Graph Chart Of Stock M
Portfolio
The Tick Size Pilot: Key Trading Considerations
This week the SEC begins its test on trading for small-cap stocks. Here’s what investors should expect.
Philip Pearson
October 2, 2016
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Corner Office
New DoL Fiduciary Rule Creates Opportunities for Fund Industry
The requirement that brokers and advisers put clients’ interests first could benefit technology providers and technology-focused firms.
Bailey McCann
April 11, 2016
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Corner Office
RIA Tensions Rise as the SEC Opens Door to Third-Party Examiners
A proposal to let private firms perform regulatory scrutiny of registered investment advisers has left the industry divided.
Bailey McCann
March 23, 2016
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Corner Office
As Coal Demand Keeps Sliding, Investors Disagree on Oil’s Fate
Institutions such as New York State Common Retirement Fund are pressuring oil companies to prepare for a lower-carbon world.
Katie Gilbert
March 11, 2016
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Portfolio
Dark Pool Settlements Spark Calls for Greater Transparency
Institutional investors have flocked to private trading venues to protect sensitive information, but new legal actions highlight the need for more regulation.
Jess Delaney
March 8, 2016
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Corner Office
Closet Indexers Beware: Regulators Are Watching You
Authorities in Europe have turned their attention to funds that track the index while charging active management fees.
Bailey McCann
March 8, 2016
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Portfolio
IEX Group’s Bradley Katsuyama Crusades for Fairer Markets
Dark pool IEX’s famed speed bump, intended to thwart high frequency traders, draws fire as the firm seeks public exchange status from the SEC.
Jess Delaney
February 29, 2016
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Corner Office
New Rules Transform Cash Management for Hedge Funds and Others
The twin onslaught of Basel III and U.S. money market reform is pushing CFOs, treasurers and cash investors to find new vehicles to park liquid assets.
Frances Denmark
December 17, 2015
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