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SEC proposes rules for dark pools to disclose more about their operations
trueDark pools and other alternative trading systems would be required to file detailed disclosures about their operations, and the activities of their broker-dealer operator and its affiliates as part of proposed rules approved by the SEC on Wednesday.
Partnerships facing new level of scrutiny from IRS
truePrivate fund investors and managers are hearing a clear message from Washington: Partnerships that until now have received little attention from the IRS could soon face a new audit regime, with more to come.
Acting director of SEC's office of compliance inspections given permanent job
trueMark Wyatt was named director of the SEC's office of compliance inspections and examinations on Thursday.
House passes bill to delay DOL fiduciary rule; White House pledges to veto it
trueThe Department of Labor would have to stop its efforts to update a fiduciary rule and let the Securities and Exchange Commission act first under a bill passed by the House of Representatives late Tuesday.
SEC reverses course on allowing companies to exclude proxy access proposals
trueThe SEC made it tougher for companies to exclude shareholder proposals that appear to conflict with management proposals.
SEC racks up $4.2 billion in recovered profits, penalties in fiscal year 2015
trueThe SEC enforcement office ended fiscal year 2015 with 807 enforcement actions and $4.2 billion in recovered profits and penalties, compared to 755 actions and $4.16 billion in fiscal 2014.
NYSE pleads for rules to make hedge funds reveal short positions
trueThe New York Stock Exchange is prodding the SEC to make hedge funds reveal which stocks they're shorting, an area where the U.S. lags far behind Europe.
President nominates 2 SEC commissioners
trueHester Peirce and Lisa Fairfax were nominated by President Barack Obama to serve as SEC commissioners.
UBS reaches $17.5 million settlement on investment strategy change
trueUBS will pay $17.5 million to settle charges that two of its advisory firms failed to disclose a change in investment strategy to investors, who will receive $13 million of the settlement.
Private funds registered with SEC increase 8.1% in 2014
trueThe number of private funds registered with the SEC rose 8.1% to 24,725 in the year ended Dec. 31, said the latest data from the SEC's division of investment management, risk and examinations office.
Private equity real estate hiring attracting scrutiny from SEC
truePrivate equity funds that specialize in real estate are attracting regulatory scrutiny over hiring that can boost the firm’s fees while sticking investors with higher expenses, Securities and Exchange Commission Chairwoman Mary Jo White said Friday.
Recent market volatility draws SEC scrutiny of ETFs
trueExtraordinary financial market volatility in the late summer has prompted the Securities and Exchange Commission to look into how exchange-traded products are sold and priced.
J.P. Morgan, Omega sanctioned by SEC over short-selling practices
trueJ.P. Morgan Chase and Omega Advisors were among six firms sanctioned by the Securities and Exchange Commission over claims that they bet against companies’ stock shortly before participating in new share offerings.
UBS to pay $19.5 million in first SEC case against structured notes issuer
trueUBS will pay $19.5 million to settle charges of improper offering materials for a proprietary foreign-exchange trading strategy, the Securities and Exchange Commission announced Tuesday.
Blackstone Group settles with SEC on accelerating monitoring fees and disclosure
trueThe Blackstone Group will pay $39 million to settle charges that accelerated monitoring fees and legal fee discounts benefiting the firm were not fully disclosed to investors, who will get $28.8 million of the settlement, the Securities and Exchange Commission announced Wednesday.