SEC

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  1. Managers more serious about compliance

    truePrivate equity and hedge fund managers, prodded by their institutional clients, are taking compliance more seriously as federal examiners and enforcers up their game targeting practices they say put investors at a disadvantage.

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  1. ETP traders not responding to exchange overtures

    trueAll too often, exchange-traded products are described as mutual funds that trade like stocks. A closer look reveals that not to be the case. To the surprise of many, ETP traders are comfortable in the dark.

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  2. Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

    trueActive fund managers will have to redraw battle plans in their years-long push to bring new products to exchanges after regulators delivered a public rebuke to two proposals for so-called “non-transparent” ETFs.

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  3. SEC rejects applications for non-transparent ETFs

    trueThe Securities and Exchange Commission has declined an appeal by active fund managers to allow ETFs to trade without disclosing their underlying holdings.

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  4. SEC's compliance office makes conflicts of interest a top priority

    trueConflicts of interest are a top priority for the Securities and Exchange Commission's office of compliance inspections and examinations, Andrew Bowden, OCIE director, told compliance professionals gathered at the NSCP Compliance Conference on Tuesday.

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  5. SEC picks hedge fund expert as OCIE deputy director

    trueMarc Wyatt was named deputy director of the SEC’s office of compliance inspections and examinations, the agency announced Monday.

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  6. SEC enforcement sets record in FY 2014

    trueThe Securities and Exchange Commission filed a record 755 enforcement actions in fiscal year 2014 that led to $4.16 billion in disgorgement and penalties, according to preliminary figures released by the agency Thursday.

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  7. Pension-related cases being heard by the Supreme Court

    trueThe Supreme Court's new term includes cases challenging investors' burden of proof in securities litigation and whether 401(k) plan fiduciaries can be sued for investment choices made years earlier.

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  8. http://www.pionline.com/article/20140919/ONLINE/140919808/-1/ramp/

    trueThe CFA Institute on Friday called for the Securities and Exchange Commission to revive its proxy access rule, contending it would increase U.S. market capitalization by as much as $140.3 billion.

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  9. SEC settles with BlackRock, others over trading infractions

    trueBlackRock Institutional Trust and RA Capital Management were among 19 firms and an individual trader that settled with the SEC over charges they illegally participated in stock offerings less than five days after short selling the stock.

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  10. A vital SEC crucial to markets

    trueThe Securities and Exchange Commission, according to testimony by its chairwoman, Mary Jo White, is desperately short of resources and cannot adequately fulfill its responsibility to oversee the capital markets.

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  11. SEC rule could push trading costs higher

    trueThe Securities and Exchange Commission's latest salvo in the war against market instability could mean higher trading fees for money managers and some smaller equity trading venues curtailing operations or shutting down completely.

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  12. 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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  13. SEC rules Timbervest violated Investment Advisers Act

    trueAn SEC administrative law judge ruled Wednesday that institutional timber manager Timbervest LLC violated terms of the Investment Advisers Act of 1940.

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