SEC

'This case does not plow new legal ground,' Commission lawyers tell federal judge

'The investing public may not be getting like protections between traditional IPOs and SPACs,' Chairman says

Swindler took in firm's COO, feds claim

'It offers prosecutors easy opportunities to show that they are doing something to hold Wall Street accountable'

"We're going to have a cleanup in aisle three, and the public is going to ask, 'Where was the oversight?'"

Outsourcing rare but multiple roles, funds abound

Regulatory 'firsts' land uncomfortably close to private funds

Registered advisers struggle with registration, fees, valuations, conflicts of interest and MNPI, Commission data shows

'Hundreds of billions of dollars in fees and expenses are standing between investors and businesses'

A jury in a Boston federal court has determined that hedge fund adviser Lemelson Capital Management and its principal Gregory Lemelson violated the anti-fraud provisions ...