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SEC Fines OppenheimerFunds $35M Over Bond Funds
7 Jun 2012, 9:21 am by Keith Griffin
OppenheimerFunds will pay $35 million to settle charges by the Securities and Exchange Commission (SEC) that it failed to adequately inform investors about using derivatives to add leverage to the Oppenheimer Core Bond Fund (OPIGX) and the Oppenheimer Champion Income Fund (OPCHX). [read post]
Representing Investors - http://www.investorprotection.com/blog
Daiwa and Blackstone End Talks on Fund
6 Jan 2009, 4:50 am
Daiwa Securities Group said Tuesday that it would abandon plans to create a large buyout fund after talks with the Blackstone Group collapsed. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
Group Backs Mandatory Fund Registration
22 Jun 2009, 4:09 am
The compulsory registration of hedge fund managers was backed by the International Organization of Securities Commissions, a global regulatory body, on Monday in an effort to restore investor confidence. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
UBS Puerto Rico Fixed Income Fund Securities Investigation
28 Nov 2017, 10:06 am by Renae Lloyd
  The post UBS Puerto Rico Fixed Income Fund Securities Investigation appeared first on White Securities Law. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Enters Preferred Prosecution Agreement with Amish Fund
18 Jul 2012, 1:58 pm by Securites Lawprof
The SEC announced that the Amish Helping Fund (AHF), a non-profit corporation that offers securities to fund mortgage and construction loans to young Amish families in Ohio, will ensure that its investors receive more timely and accurate information under a... [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
Maryland Amends its Securities Act Earlier this year the Maryland General Assembly amended parts of the Maryland Securities Act and added some new sections to it. The amendments went into effect on October 1, 2017. Changes to the Maryland Securities Act include the creation of the Securities Act Registration Fund, adoption of the North American Securities Administrators Association’s Senior Model Act to address financial exploitation of seniors, and changes in fees for certain filing categories. The amendments added a new section, Section 11-208, which establishes a Securities Act Registration Fund. The Fund’s purpose is “to help fund the direct and indirect costs of administering and enforcing the Maryland Securities Act.” The Fund will comprise registration fees, money that the State sets aside for the Fund in its budget, and any money accepted from any other source for the Fund’s benefit. The Fund cannot be used for any purpose other than administering and enforcing the Maryland Securities Act. The Maryland General Assembly also adopted NASAA’s Senior Model Act to address the financial exploitation of seniors. As discussed previously, NASAA adopted the Senior Model Act last year to provide state securities administrators with a framework for possible legislation to protect seniors and other vulnerable adults. The Maryland Securities Act now requires a broker-dealer or investment adviser who has a reasonable belief that a senior or other vulnerable adult has been financially exploited to inform the Maryland Securities Commissioner and a local department. A local department is a state authority tasked with addressing exploitation of vulnerable adults under Maryland’s family laws. The amendments will also permit a broker-dealer or investment adviser to delay disbursements from a senior or other vulnerable adult’s account if the broker-dealer or investment adviser reasonably believes that the disbursement could result in financial exploitation of the senior or other vulnerable adult. The amendments also
30 Nov 2017, 8:09 am by Elizabeth Dalziel
  The Fund’s purpose is “to help fund the direct and indirect costs of administering and enforcing the Maryland Securities Act. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Imposture, Security and the Funds Transfer Agreement
3 Mar 2012, 1:08 pm by Susan Brenner
His account was subject to a Funds Transfer Agreement (`FTA’) that implemented one of three security procedures. . . . [read post]
CYB3RCRIM3 - http://cyb3rcrim3.blogspot.com/
Short-Selling Ban Prompts Grumbling From Hedge Funds
23 Sep 2008, 12:24 pm
Many hedge funds are chafing under the broad but temporary restrictions that the Securities and Exchange Commission has placed on short-selling. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
State Securities Commissions & E*Trade Settle ARS Claims
23 Oct 2011, 9:03 am by Securites Lawprof
NASAA recently announced that a settlement in principle has been reached between E*TRADE Securities LLC and state securities regulators to return approximately $100 million to the firm’s clients who have had their funds frozen in the auction rate securities (ARS)... [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
Zamansky LLC Investigates GPB Capital Holdings Private Funds
19 Dec 2018, 9:51 am by zamansky
On December 18, 2018, it was reported that Massachusetts’ securities regulators are investigating GPB Capital Holdings, which has sold approximately $1.8 million of its private funds. [read post]
Zamansky LLC Blog - http://www.zamansky.com/news-media/
S.E.C. Moves to Restrict Mutual Fund Fees
21 Jul 2010, 3:03 pm by By DEALBOOK
The Securities and Exchange Commission voted unanimously to propose a reduction in the fees that mutual fund investors pay for sales and marketing activities of brokers. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
New Fund Rules for Disclosure of Systemic Risks
26 Feb 2010, 4:44 am by By DEALBOOK
The International Organization of Securities Commissions published Thursday the data hedge funds will be required to disclose as of September, The Telegraph reported. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
S.E.C. Examines Mutual Funds' Use of Derivatives
31 Aug 2011, 10:30 am by By BEN PROTESS
The Securities and Exchange Commission is considering whether to place tougher restrictions on derivatives used by mutual funds. [read post]
DealBook - http://dealbook.blogs.nytimes.com/?=rss2
Birdthistle on Money Market Funds
1 Jan 2011, 1:46 pm by Securites Lawprof
Breaking Bucks in Money Market Funds, by William A. [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Well Done - https://www.morganlewis.com/blogs/welldone
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Up & Atom - https://www.morganlewis.com/blogs/upandatom
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Power & Pipes - https://www.morganlewis.com/blogs/powerandpipes
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
ML BeneBits - https://www.morganlewis.com/blogs/mlbenebits
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
As Prescribed - https://www.morganlewis.com/blogs/asprescribed
Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers?, The Review of Securities & Commodities Regulation
9 Jan 2024, 10:00 pm
Last year, the US Securities and Exchange Commission adopted a landmark rulemaking that impacted the $26.6 trillion private fund industry. [read post]
Tech & Sourcing @ Morgan Lewis - https://www.morganlewis.com/blogs/sourcingatmorganlewis