The Congressional Research Service described regulatory policy and financial stability concerns regarding hedge fund activities.
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1626 News Results
In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
The SEC adopted a new rule under the Securities Exchange Act which imposes reporting requirements on persons who lend "reportable securities."
The SEC adopted a new Exchange Act Rule requiring 'institutional investment managers' to report, on new Form SHO, information as to certain short positions in equity securities and related trading activity.
An investment adviser settled charges with the SEC for violating whistleblower protection rules by restricting employees from communicating potential securities law violations to the SEC.