SEC

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  1. SEC announces pilot program to expand tick sizes for small-cap trades

    trueThe SEC on Tuesday announced a one-year pilot program to widen minimum tick sizes for small-cap stocks.

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  1. SEC: Private fund manager AUM up 22% for year ended May 31

    trueRegulatory assets under management by private equity, hedge fund and other private fund managers required to register with the SEC increased 22% to $8.9 trillion in the year ended May 31.

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  2. SEC ruling expected in Timbervest case

    trueAn SEC administrative law judge is scheduled to rule this week on whether institutional timber manager Timbervest LLC's violated securities laws and order firm officials to pay more than $15 million in disgorgement payments and interest.

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  3. Challenges of cybersecurity

    trueTrustees and other fiduciaries overseeing large asset pools face increasing challenges from cybersecurity risk, and must strengthen their risk management and preparedness to deal with these potential threats.

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  4. SEC, Kansas settle over state's pension fund disclosure in bond offerings

    trueThe state of Kansas reached a settlement with the Securities and Exchange Commission Monday

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  5. Ex-CEO of ConvergEx Global Markets faces Justice, SEC charges

    trueAnthony G. Blumberg, former CEO of ConvergEx Global Markets, a now-shuttered broker-dealer subsidiary of ConvergEx Group, was charged by the Justice Department and the SEC with concealing fees to buy and sell securities.

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  6. Adding reality to valuations

    trueThe Securities and Exchange Commission made the right decision in exempting defined contribution plans — but not defined benefit plans, foundations, endowments and other asset owners — from its new rule requiring the share values of institutional prime money market funds to fluctuate based on ...

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  7. SEC eyes adopting CEO pay ratio rules

    trueThe Securities and Exchange Commission is slated to adopt in October its final rules on implementing a proposed CEO pay ratio, said Laura D. Richman, counsel at Mayer Brown LLP, in a teleconference Thursday the law firm hosted discussing key proxy season issues.

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  8. Chamber of Commerce wants simplified corporate disclosures

    trueThe Securities and Exchange Commission should simplify corporate disclosure to make filings more useful to investors, including doing away with a requirement to show the company’s stock performance.

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  9. Citigroup alternative trading system settles with SEC

    trueCitigroup Global Markets' LavaFlow alternative trading system will pay $5 million — $2.85 million in penalties and the remainder in refunds to clients including money managers — to settle SEC charges that it did not protect subscribers' confidential information.

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  10. Morgan Stanley settles RMBS case with SEC

    trueMorgan Stanley will pay $275 million to settle charges brought by the Securities and Exchange Commission alleging inadequate investor disclosure in two residential mortgage-backed securities offerings in 2007.

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  11. SEC approves money market reforms for institutional funds

    trueInstitutional prime money market funds will have several new tools for preventing runs, under new rules approved Wednesday by the Securities and Exchange Commission.

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  12. CFTC commissioner resigning

    trueScott O'Malia is resigning as a CFTC commissioner effective Aug. 8.

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  13. SEC investigating hedge funds in House committee insider-trading probe

    trueSome of the country’s largest hedge funds are being investigated by the SEC as part of an insider-trading probe.

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