SEC Holds Roundtable to Gauge Need for Hedge Fund Regulation
- SEC Plans Hedge Fund Roundtable. Cohen, Judy Radler // Investment Management Weekly;4/14/2003, Vol. 16 Issue 15, p4
Deals with the plans of the U.S. Securities and Exchange Commission to conduct hedge fund roundtable discussions in May 2003. Reasons for the plan; Emergence of hedge funds; Schedule of roundtable discussions.
- Suit Filed Against SEC Hedge Fund Rule. Hume, Lynn // Bond Buyer;12/23/2004, Vol. 350 Issue 32036, p2
This article reports on the suit filed against the U.S. Security & Exchange Commission's (SEC) Hedge Fund Rule. Opportunity Partners LP, a hedge fund based in Pleasantville, New York, its investment manager, Phillip Goldstein, and its investment adviser, Kimball & Winthrop Inc. filed a lawsuit...
- 'Desperately Seeking CCOs' Curtis, Carol E. // Securities Industry News;4/11/2005, Vol. 17 Issue 14, p1
Deals with issues addressed at the Commodity Pool Roundtable sponsored by the Commodity Futures Trading Commission, on April 6, 2005, in Washington, D.C. Registration requirements of the Securities and Exchange Commission on hedge funds; Obstacle to meeting the chief compliance officer...
- TowerGroup: Transparency May Dull Funds' Luster. Wold, Melanie // Securities Industry News;6/13/2005, Vol. 17 Issue 23, p18
Reports that hedge funds will be required to register with the U.S. Securities and Exchange Commission in 2006. Impact of the registration on hedge fund advisers; Highlights of the TowerGroup industry conference in Boston, Massachusetts, in May 2005; Benefits of regulation on hedge funds.
- SEC Eyes Baseline Disclosure. Quigley, Joan // Bond Buyer;5/5/2011, Vol. 376 Issue 33512, p1
Information about the U.S. Securities and Exchange Commission's (SEC) baseline standards for municipal securities disclosures discussed at the National Federation of Municipal Analysts (NFMA) conference is presented. Topics include municipal securities market reform to enhance investor...
- Muni Council to Meet in Austin to Discuss CPO Progress. Hume, Lynn // Bond Buyer;3/22/2005, Vol. 351 Issue 32095, p5
Reports on the meeting of Muni Council members to discuss the progress of the Central Post Office (CPO) disclosure facility in Austin, Texas. Creation of a one-stop filing place for municipal issuers' secondary market disclosure documents; Possibility for the U.S. Securities and Exchange...
- MCDC Credited with Boosting Muni Disclosure. Hume, Lynn // Bond Buyer;2/4/2016, Vol. 1 Issue 34455, p1
Municipal market participants on a panel here Tuesday said continuing disclosure is improving and credited the SEC's voluntary enforcement initiative with giving it a boost. They also had positive things to say about federal oversight and rules for non-dealer municipal advisors.
- Our Pride. Cooper, Evan // On Wall Street;Oct2004, Vol. 14 Issue 10, p12
Introduces articles featured in the October 2004 issue of "On Wall Street," including the effects of the registration in the U.S. Securities and Exchange Commission on the hedge funds of products.
- SEC rule opens the playing field. Anand, Vineeta // Pensions & Investments;4/14/1997, Vol. 25 Issue 8, p8
Reports on the adoption of rules by the Securities and Exchange Commission (SEC) which clear the way for hedge funds to seek more than 100 investors as long as those investors can be defined as qualified purchasers. Relation of the National Securities Markets Improvement Act of 1996 to the...