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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.
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.
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.
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.
CFTC commissioner resigning
trueScott O'Malia is resigning as a CFTC commissioner effective Aug. 8.
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.
SEC money market rules vote set for July 23
trueMuch-anticipated reforms for money market funds from the Securities and Exchange Commission will be decided at an open meeting July 23 in Washington.
First SEC case on pay-to-play sends a message
trueThe first enforcement case brought under the SEC's pay-to-play rules has increased awareness of the extent of the regulations, and their impact on managers and investors.
SEC files Wells notice against BlackRock
trueThe Securities and Exchange Commission is recommending that action be taken against BlackRock subsidiary BlackRock Advisors, an 8-K filing from BlackRock on Friday said.
SEC expands its cross-border swaps rules
trueThe SEC on Wednesday voted to extend its cross-border securities-based swap rules to include transactions executed by foreign divisions of U.S. banks when an affiliate’s trades are legally guaranteed by the parent company.
Transparency could guide SEC trading agenda
trueIncreasing the transparency of prices and potential conflicts of interest in institutional trades in dark pools and automated trading systems will drive the SEC's policy agenda for the next several years and could offer investors leverage to better control trading costs.
SEC settles first case under pay-to-play rules
trueTL Ventures Inc. will pay $300,000 to settle “pay-to-play” charges announced Friday by the SEC.
SEC settles with Paradigm over prohibited transaction, whistle-blower retaliation claims
trueParadigm Capital Management and founder Candace King Weir agreed to pay $2.2 million to settle charges that it engaged in prohibited transactions and retaliation against an employee whistle-blower, the Securities and Exchange Commission announced Monday.
Investors may get more fee info from GPs
truePrivate equity general partners, spurred by a speech by the SEC's chief of compliance inspections, are reviewing fee practices they had not specifically disclosed to limited partners.
Liquidnet settles with SEC over charges of misusing confidential customer info
trueLiquidnet reached a $2 million settlement with the SEC over charges that the institutional dark-pool operator used subscribers’ confidential information to market its services, the SEC said Friday.