SEC

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  1. SEC round-table panelists debate necessity for universal proxy ballot

    trueCorporations should adopt a universal proxy ballot enabling shareholders to vote for both management and activist nominees for boards of directors on the same voting card, Anne Simpson, senior portfolio manager and director of global governance at CalPERS, said Thursday as a panelist for an SEC ...

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  1. Norm Champ to leave as SEC's director of investment management

    trueNorm Champ is resigning from the SEC as director of investment management at the end of January, the Securities and Exchange Commission announced Wednesday.

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  2. S&P settles with SEC, 2 states over CMBS ratings

    trueStandard & Poor's Ratings Services agreed to pay a total of $77 million to settle federal securities law violations involving its ratings of commercial mortgage-backed securities to the SEC, and to the offices of the New York and Massachusetts attorneys general.

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  3. SEC to revisit proxy access conflict rule

    trueThe SEC will revisit proxy rules that allow companies to exclude shareholder proposals that are in direct conflict with management proposals, Chairwoman Mary Jo White said.

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  4. SEC approves new transparency rules on swaps trades

    trueMost swaps trades will have to be reported to the public under rules approved by the SEC on Wednesday.

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  5. SEC prioritizes market risks for 2015, will continue to review private equity fees

    trueSEC compliance officials will spend 2015 focused on protecting retail investors' retirement savings and assessing market risks

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  6. Direct Edge Holdings to pay $14 million in SEC settlement

    trueTwo Direct Edge exchanges now owned by BATS Global Markets will pay $14 million to settle charges of improperly describing stock orders, the SEC announced Monday.

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  7. Former SEC chairman calls agency's proxy guidance a 'positive first step'

    trueSEC staff guidance on proxy voting and the use of proxy advisory firms “is a rich opportunity for public companies to take the initiative back,” former SEC Chairman Harvey Pitt said Wednesday.

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  8. Blackstone, TPG open up about hidden fees as SEC pushes transparency

    trueTwo of the largest private equity firms are disclosing fees that had largely been hidden as U.S. regulators demand increased transparency from the industry.

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  9. SEC cites lax practices at credit-rating firms

    trueDebt raters failed to follow their own methodologies, let senior credit officers view market-share data and allowed a trade group to affect criteria changes, an SEC report said.

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  10. F-Squared Investments settles with SEC over false advertising

    trueF-Squared Investments will pay $35 million and admit wrongdoing to settle SEC charges of defrauding investors with false performance advertising of its flagship strategy, “AlphaSector,” an active ETF strategy.

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  11. The SEC's "broken windows' strategy is misguided

    trueThe Securities and Exchange Commission is unfortunately pursuing a fundamentally flawed strategy to police the capital markets and protect investors.

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  12. More safeguards coming for money managers in 2015, SEC chairwoman says

    trueThe SEC will spend 2015 taking a closer look at risks in the money management industry, Chairwoman Mary Jo White said Thursday at an investor conference in New York.

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  13. The risks of multiline firms

    trueThe Department of Labor made the right decision in granting Credit Suisse AG and its related entities a temporary exemption to continue to provide asset management services, at least for the short term, after its banking unit pleaded guilty to assisting U.S. citizens avoid taxes.

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