Home SEC

SEC

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 ...
A Gary Gensler-led SEC will skirr market structures—including payments-for-order flow—and may even be open to rulemakings to fix problems it finds there, the would-be chairman ...
The "degenerates" of wallstreetbets wanted attention. Now they're getting it.
A California Democrat is promising legislation by the end of the year that he says will target order flow arbitrage in the markets. Rep. Brad ...
Sideletter
SEC Acting Chair Allison Herren Lee has ordered the Commission to take two procedural steps advocates see as a sign that Wall Street has a ...
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 ...
Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...
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, ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination