Enforcement

SEC needs lots more hands and a 'cultural change,' author says

'The SEC never had the right expertise on the case and chased the wrong rabbit'

First Form 10 filing in nearly three years paints gloomy picture of embattled fund adviser.

LJM’s failure to manage its portfolios in the manner described to investors resulted in catastrophic losses in early February 2018 when the S&P 500 suffered ...

LJM’s central trading strategy relied primarily on selling options on S&P 500 futures and collecting the premiums (also called a short volatility strategy). Selling options ...

Clearer structure, definition urged in compensation funds

'Reg D... is designed to balance the demand and supply side'

BTIG did not take reasonable steps to verify that the hedge fund would deliver shares of stock sold by settlement and ignored red flags

We will bring "that matter to all parts of our mission — whether deceptive conduct by private funds, offering or accounting frauds, insider trading, market ...

A Connecticut-based CPO/CTA has agreed to pay half a million dollars for not having compliance policies in place to prevent wash sales. The CFTC enforcement ...