SEC Actions

EDG did not incorporate the effects of these write downs into management fee calculations performed with respect to thirteen quarterly management fee payment dates during ...

This joint final rule will lower the minimum margin level from 20% to 15% on unhedged futures' position

The new rules “will increase investor protection by focusing audit clients, audit committees, and auditors on areas that may threaten an auditor’s objectivity and impartiality," ...

The settlement closes one chapter, but the saga continues.

Nearly 35% of all private funds—and almost 52% of qualified hedge funds—were domiciled in the Caymans, SEC data show.

The SEC proposes two classes of exemption for finders so they wouldn't have to register as broker-dealers. Comments must be received by Nov. 12

The Commission, in a rare unanimous vote, has adopted new rules designed to keep the public (and investors) updated on complex investment structures.

The final rules are tailored to permit investors with reliable alternative indicators of financial sophistication to participate in such investment opportunities, while maintaining the safeguards ...

The order applies to those with series 7, 82 and 65

The Commission’s complaint alleged that Howard and a co-defendant raised approximately $4.1 million from about 20 investors—primarily former professional football players who were plaintiffs in ...