SEC

“The primary drawback of fewer hedge fund filings is lack of clarity around crowding risk,” strategists from the firm write.

To thwart a multifactor verification system, he once used a victim’s home phone to authorize transactions.

The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.

Almost 90% of smaller fund managers would no longer have to report their investments and their firms would save $136 million a year, the agency estimates.

The rep defrauded clients with promises of a “lucrative investment” tied to the popstar that would also “help needy people,” according to regulators.

The Labor Department’s short comment period is one reason to get up to speed, fast.

Jacob Gottlieb, whose $8 billion fund shuttered amid an insider trading scandal two years ago, received a $150,000 to $350,000 loan for his new shop.

The announcement was welcomed by Wall Street lobbying groups, some of whom sued to vacate the Obama-era regulation.

Michael Kitces, co-founder of XY Planning Network, says the group is mulling its options after a federal court struck down the organization’s lawsuit against the SEC rule.

Secretary of Labor Eugene Scalia said retirement plans aren’t for “furthering social goals or policy objectives that are not in the financial interest of the plan.”

The board is “decisively moving away” from allowing advisors to self-disclose, CEO Kevin Keller says.

As the industry pushed to comply with the fiduciary rule, new issues emerged.

The court has suggested that federal law bars awards from going further, blunting a legal tool that critics say the agency has abused.

The fund would provide broad-based exposure to four commodity sectors through futures contracts, according to the filing.

A Democratic-led SEC could revisit Reg BI, advocacy groups and industry observers say.

After the client died at age 98, the advisor allegedly moved on to bilk another elderly investor, authorities say.

Almost all of the decline reflects performance-related losses rather than client withdrawals, according to a person familiar with the matter.

The ETF aims to track companies specializing in remote-working, learning and entertainment.

The $4.9 billion fund has come under close scrutiny as crude’s rapid plunge forced it to quickly shift some of its giant positions on short notice.

Don’t expect significant changes anytime soon to longstanding complaints about conflicts of interest in the “issuer pay” model of the ratings business.