Pipeline agrees to pay $1 million to settle case
Extensive discussions on all aspects of high-frequency trading
SEC joins other U.S. regulators in proposing Volcker Rule
Account structures could be used to facilitate a variety of financial crimes
U.S. securities industry supports SEC proposals
Four received illegal tips from the expert network consultants, regulator alleges
Regulator alleges firm failed to prevent misrepresentations to investors regarding Reserve Yield Plus Fund
Regulator alleges scheme devised by Canadian citizen
Information available on SEC website
The U.S. Securities and Exchange Commission proposed a rule Tuesday that would require advisors to hedge funds and other private funds to report certain information to the new U.S. Financial Stability Oversight Council.Under the proposal, larger private fund advisers managing hedge funds, “liquidity funds” (i.e., unregistered money market funds), and private equity funds would be […]