Securities And Exchange Commission

Latest Articles

Hedge Fund Accused of Defrauding 9/11 Heroes

Imogen Rose-Smith February 7, 2017

SEC Chairman Mary Jo White Testifies Before Senate Banking Committee

Mary Jo White to Step Down as SEC Chair

Frances Denmark November 15, 2016

The Tick Size Pilot: Key Trading Considerations

Philip Pearson October 2, 2016

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New DoL Fiduciary Rule Creates Opportunities for Fund Industry

Bailey McCann April 11, 2016

RIA Tensions Rise as the SEC Opens Door to Third-Party Examiners

Bailey McCann March 23, 2016

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As Coal Demand Keeps Sliding, Investors Disagree on Oil’s Fate

Katie Gilbert March 11, 2016

Dark Pool Settlements Spark Calls for Greater Transparency

Jess Delaney March 8, 2016

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Closet Indexers Beware: Regulators Are Watching You

Bailey McCann March 8, 2016

IEX Group’s Bradley Katsuyama Crusades for Fairer Markets

Jess Delaney February 29, 2016

New Rules Transform Cash Management for Hedge Funds and Others

Frances Denmark December 17, 2015

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Hedge Funds Smell Blood in the Student Debt Market

Bailey McCann October 19, 2015

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SEC Grants Too Many Confidential Treatment Requests, Critics Say

Richard Teitelbaum October 7, 2015

Hedge Funds Fill Gap in the U.S. Municipal Bond Market

Bailey McCann September 11, 2015

SEC’s Proposed Changes to Form ADV: Time for RIAs to Prepare?

Ed McCarthy September 9, 2015

The Morning Brief: Seattle Firm Settles SEC Charges

Stephen Taub September 8, 2015

Financial Firms Can’t Ignore the Foreign Corrupt Practices Act

Bailey McCann September 4, 2015

Daily Agenda: China Yuan Falls for Second Day

Andrew Barber August 12, 2015

Daily Agenda: Yet Another Debt Proposal from Greece

Andrew Barber June 9, 2015

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