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SEC: Regulators

A New York hedge fund adviser has suspended its founder and will liquidate its biggest fund after the SEC accused the man of “adjusting” swaps ...
“The task force will also analyze disclosure and compliance issues relating to investment advisers’ and funds’ ESG strategies”
The "degenerates" of wallstreetbets wanted attention. Now they're getting it.
Broker-dealer custody of digital asset securities raises certain compliance questions with respect to the Customer Protection Rule
The court-appointed monitor in the ongoing SEC case against GPB Capital is turning to a veteran Washington, D.C. fixer to help clean things up, RCW ...
At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...
New York private fund adviser GPB Capital is vowing to fight back against state and federal accusations that it was all an elaborate fraud. “We ...
Blank check companies should do an inventory of potential conflicts and make sure they’re disclosing them “clearly” when either launching an IPO or considering a ...
Sideletter
The Trump Administration has made it official and named Republican SEC Commissioner Elad Roisman to serve as acting Chairman. The designation, made late Dec. 28, ...
Securities Information Processors now must gather and share data on stock exchanges’ depth-of-book, odd-lot and auctions under new rules adopted Dec. 9 by the SEC. ...
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