SEC

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  1. SEC charges Gray Financial Group for defrauding public pension funds

    trueThe Securities and Exchange Commission announced fraud charges Thursday against Gray Financial Group for allegedly selling unsuitable investments to the $1.3 billion Atlanta General Employees’ Pension Fund and pension funds for the city’s firefighters and police officers, as well as the MARTA/ATU ...

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  1. SEC proposes rules requiring more fund disclosure, including on derivatives

    trueThe Securities and Exchange Commission announced Wednesday a series of proposals aimed at modernizing and enhancing data reporting by registered investment companies and investment advisers.

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  2. SEC to propose that mutual funds disclose risk of rate rise

    trueThe Securities and Exchange Commission is set to propose a requirement that mutual fund companies report how vulnerable their bond portfolios are to interest rate changes, said two people familiar with the matter.

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  3. SEC to expand alternative investment examination program to more asset classes

    trueSecurities & Exchange Commission plans to expand its ongoing alternative investment examination program to other alternative investment managers including credit advisers, infrastructure and timber managers, said Marc Wyatt, acting director of the SEC's office of compliance inspections and ...

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  4. SEC to scrutinize private equity secondary transactions

    trueSEC examiners will be paying closer attention to how private equity firms handle secondary transactions, Igor Rozenblit said Wednesday at a global private equity conference in Washington.

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  5. SEC's Gallagher said to resign as commissioner

    trueDaniel Gallagher is resigning his post as a Republican member of the Securities and Exchange Commission after four years, a time marked by partisan battles over the regulatory response to the 2008 financial crisis, according to three people familiar with the matter

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  6. SEC's acting director of investment management gets permanent position

    trueDavid Grim was named director of the division of investment management at the Securities and Exchange Commission, spokeswoman Judith Burns said.

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  7. SEC approves small-cap tick pilot

    trueThe Securities and Exchange Commission on Thursday gave final approval for a two-year pilot program beginning May 6, 2016, to increase the tick sizes — minimum quoting and trading increments — for smaller-cap stocks.

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  8. SEC proposal would require certain non-U.S. swap dealers to register in U.S.

    trueThe SEC on Wednesday proposed requiring non-U.S. swap dealers that operate trading desks in the U.S. to register with the agency as a security-based swap dealer.

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  9. SEC approves pay-for-performance requirement for companies

    trueThe Securities and Exchange Commission on Wednesday approved new pay-for-performance requirement that means companies must now disclose the relationship between executive compensation and financial performance of the company.

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  10. SEC outlines cybersecurity guidance for money managers, advisers

    trueThe SEC recommended that money managers and other registered investment advisers create a strategy to prevent, detect and respond to cybersecurity, including more internal security measures, data encryption and backup, and restrictions on the removal of storage media.

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  11. Investor groups say SEC should require companies to disclose political spending

    trueFive state treasurers, including North Carolina Treasurer Janet Cowell, sole trustee of the $88.8 billion North Carolina Retirement Systems, Raleigh, are urging the SEC to require corporate political disclosures.

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  12. BlackRock settles SEC charges over failing to disclose conflict of interest

    trueThe SEC charged BlackRock subsidiary BlackRock Advisors on Monday with failing to disclose a conflict of interest created by the outside business activity of one of the firm’s portfolio managers, said a cease-and-desist order from the Securities and Exchange Commission.

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  13. Legal challenge to SEC enforcement process heard

    trueHouston hedge fund manager George Jarkesy Jr. took on the Securities and Exchange Commission Monday.

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