SEC

Safeguards Rule P&Ps, implementation trip up eight firms

Gensler has tough questions for 'stonks' industry

Embattled hedge fund adviser Infinity Q has estimated its exposure to ongoing shareholder suits at nearly $675 million, the firm says in a new statement. ...

Scam began as side-hustle, SEC claims

European and American regulators have reached a new agreement to help each other monitor securities-based swaps dealers. Foreign swaps dealers and “major participants” are required ...

SEC, investors demand more 'horsepower' in private fund shops

ILPA's asks graph neatly onto Gensler's wants

The House Financial Services Committee approved legislation that would require family offices with assets above $750 million to file Form Ds with federal regulators. Offices ...

Banking giant Credit Suisse lost $5.5 billion on the collapse of Archegos Capital Management because “of a fundamental failure of management and controls” and in ...

"If firms don’t file it, it’ll certainly stick out," Commission had warned