SEC: Regulators

The new rules are a capstone on Chairman Jay Clayton's SEC career but they'll come over the objections of Democratic Commissioners and state regulators.

Fund advisers will be allowed to risk up to 200% of their firms’ portfolios’ value in derivatives under first-of-their-kind rules adopted by a divided SEC ...

"It’s easier to get good regulations in repudiation to bad Trump administration rules than if you’re starting from scratch under ordinary circumstances."

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," ...

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 order applies to those with series 7, 82 and 65

In "an area of the securities markets that is already prone to fraud, the proposed approach would eliminate the important investor protections the established broker-dealer ...

"Today, the Commission proposes to carve out this conduct, a mere three months after the compliance date for Reg BI"