Securities Exchange Commission
Changes to Side Letters, Audits, and More: Unpacking the SEC’s New Rules for Private Funds
Regulators voted Wednesday to approve new rules for asset managers, including private equity firms and hedge funds.
August 23, 2023
Five Questions: Irene Aldridge on High Frequency Trading
High frequency trading will democratize investing, reduce costs, improve liquidity and reduce volatility, provided ill-informed technophobes don’t interfere, says Irene Aldridge, founder of New York–based HFT firm Able Alpha Trading.
April 12, 2012
BATS May Defer $100M IPO Until 2012
BATS Global Markets is likely to postpone its initial public offering until early next year.
July 19, 2011
JP Morgan Legal Costs May Reach $4.5B
JP Morgan Chase may face material fines and legal costs of $4.5 billion from a wide-ranging probe into the industry’s foreclosure practices.
February 28, 2011
HF Group Seeks Expert Networks Guidelines
Washington-lobbying group, Managed Funds Association, has requested the Securities and Exchange Commission for guidance on using expert networks.
January 31, 2011
Making the Case for Locked Markets
Ending the ban against locked markets could benefit our national market system.
March 29, 2010
SEC Seeks Disclosure From Brokers
SEC’s Mary Schapiro urges brokers, selling financial products, to reveal upfront the type of compensation.
December 7, 2009
Stepping Up SEC’s Enforcement Activity
Robert Khuzami wants to put the teeth back into the SEC’s Division of Enforcement after several years of benign neglect.
November 8, 2009
SEC OKs Clearly Erroneous Trade Rules
SEC consents to new exchange rules for breaking “clearly erroneous” trades.
October 6, 2009