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Private Equity, Hedge Funds Brace for Coming SEC Overhaul
Regulators could adopt new rules for firms such as Blackstone and Millennium as soon as this month. Source link
One Equity Investigated by SEC
The Securities and Exchange Commission is investigating whether private-equity firm One Equity Partners’ communications with investors about its past and future performance violated rules. Source
SEC fines Cantor Fitzgerald over repeated failure to identify large traders By Reuters
© Reuters. FILE PHOTO: People exit the headquarters of the U.S. Securities and Exchange Commission (SEC) in Washington, D.C., U.S., May 12, 2021. REUTERS/Andrew Kelly/File
Ripple Wins Early Dismissal of Some Claims in SEC Lawsuit
The cryptocurrency company won early dismissal of some regulatory allegations related to its sale of more than $1.4 billion worth of a digital token known
U.S. judge says SEC lawsuit vs Ripple Labs can proceed to trial on some claims By Reuters
© Reuters. FILE PHOTO: The U.S. Securities and Exchange Commission logo adorns an office door at the SEC headquarters in Washington, June 24, 2011. REUTERS/Jonathan
US SEC sues Celsius Network and its founder By Reuters
© Reuters. FILE PHOTO: People exit the headquarters of the U.S. Securities and Exchange Commission (SEC) in Washington, D.C., U.S., May 12, 2021. Picture taken
Explainer-Why is the U.S. SEC reforming money market funds? By Reuters
© Reuters. FILE PHOTO: Signage is seen at the headquarters of the U.S. Securities and Exchange Commission (SEC) in Washington, D.C., U.S., May 12, 2021.
SEC proposes changes to Broker-Dealer Customer Protection Rule
The Securities and Exchange Commission (SEC) today proposed amendments to Rule 15c3-3 (the Customer Protection Rule) to require certain broker-dealers to increase the frequency with
US SEC to finalize money market fund reforms aimed at boosting resilience By Reuters
© Reuters. FILE PHOTO: People exit the headquarters of the U.S. Securities and Exchange Commission (SEC) in Washington, D.C., U.S., May 12, 2021. Picture taken
US SEC removes ‘swing pricing’ from money market fund overhaul plan -Bloomberg News By Reuters
© Reuters. The seal of the U.S. Securities and Exchange Commission (SEC) is seen at their headquarters in Washington, D.C., U.S., May 12, 2021. Picture