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U.S. Banker December 2004 Lee Conrad	Compliance: Hedge Fund Registration Sparks Broad Criticism The Securities and Exchange Commission's decision to register most of the estimated 8,350 hedge funds is drawing heavy criticism from the business community and some government officials.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
Registered Rep. January 9, 2007 John Churchill	To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home.
Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
BusinessWeek December 27, 2004 Emily Thornton	Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors.
The Motley Fool March 2, 2005	Hedge Funds Explained While the word "hedge" conjures up images of investors cautiously hedging their bets, hedge funds are often extra-risky, volatile investment vehicles that demand huge upfront investments, sometimes in the millions.
Wall Street & Technology September 18, 2006	Registration's Lingering Effects It appears as though the ill-fated SEC hedge fund registration requirement will have a lasting effect on many in the hedge fund industry.
Knowledge@Wharton February 26, 2003	The Perils of Hedge Fund Regulation Hedge fund products are increasingly available to a broader audience than previously had access to this asset class. A barrage of news reports focused on hedge fund fraud and blowups raises the idea that regulation might provide a useful fix. So should hedge funds be regulated? No.
The Motley Fool June 26, 2006 S.J. Caplan	Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
Registered Rep. February 20, 2006 Kevin Burke	MFS Chairman Blasts Hedge Funds at NICSA Confab The chairman of fund complex MFS Investment Management is calling for the formation of a task force to overhaul performance reporting for hedge funds.
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
The Motley Fool November 15, 2005	Hedge Funds, Explained While the word "hedge" might conjure up images of investors cautiously hedging their bets, hedge funds are often extra-risky, extra-volatile investment vehicles that demand huge up-front investments, sometimes in the millions.
Financial Advisor November 2003 Alan Lavine	Alternate Ways To Hedge Portfolios Should you put your well-heeled clients into unregistered or registered hedge funds? Or is it better to select a mutual fund that uses hedge-fund tactics and is managed by a registered investment company?
Registered Rep. December 2, 2003 Will Leitch	Spitzer, OCC Issue Corporate Death Penalty The news came right before the Thanksgiving holiday, so you might have missed it. But let there be no doubt: The mutual fund investigations have now gone nuclear.
BusinessWeek July 19, 2004 Borrus & Dwyer	Lobbying For Laissez-Faire Hedge funds are pouring money into campaign coffers in the U.S. to stop SEC regulation.
BusinessWeek October 20, 2003 Dwyer & Thornton	Mutual Funds Feel The Heat Did they feed information to hedge funds, brokers, and others?
Registered Rep. November 3, 2003 Will Leitch	Fund Scandal Implicates Stockbrokers The mutual fund trading scandals headlines seemed to implicate mutual fund family executives and hedge funds -- everybody but individual retail brokers and brokerage management. But a new survey by the SEC charges brokers with abusive trading of mutual funds.
Investment Advisor September 2006 Jeff Joseph	Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.
Investment Advisor October 2007 Ronald W. Roge	To Hedge or Not to Hedge The underlying premise of hedge funds, to reduce volatility in a portfolio, is not in itself flawed. What can we do, as fiduciaries, to use them to achieve the performance necessary to meet our clients' long-term financial objectives?
Wall Street & Technology February 14, 2006	Hedgies Open Their Wallets A new survey finding reflects the large camp of hedge fund managers that believes new SEC registration rules are only the first step in a broader regulatory framework envisioned by the SEC.
Investment Advisor July 2008 Melanie Waddell	SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.
Financial Advisor February 2007 Thomas M. Kostigen	Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts.
The Motley Fool June 25, 2004 Tim Beyers	Fund Independence Day Yesterday, the Securities and Exchange Commission turned up the heat on the mutual fund industry by requiring that funds maintain a board of trustees that is at least 75% independent from management.
Registered Rep. February 23, 2007 Halah Touryalai	Retail Hedge Fund Investors to the SEC: Buzz Off The SEC thinks it needs to do more to protect wealthy retail investors from the secretive world of hedge funds. But many wealthy investors say they can take care of themselves.
Investment Advisor September 2007 Melanie Waddell	Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
Registered Rep. January 8, 2010 Halah Touryalai	A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds.
Registered Rep. November 1, 2002 Dave Tsujimoto	In Defense of Hedge Funds Here's why any rep with high-net-worth clients ought to become familiar with the nuances of hedge funds.
The Motley Fool July 6, 2005 Tom Taulli	Donaldson's Last Stand William Donaldson made his mark on the SEC -- up until his last day in office. Interestingly, even the U.S. Court of Appeals had concerns about the new mutual fund regulations.
HBS Working Knowledge October 6, 2003 D. Quinn Mills	The Problem with Hedge Funds Hedge funds are the New Big Thing -- and that's bad for the average investor, says professor D. Quinn Mills. An excerpt from Wheel, Deal, and Steal.
Registered Rep. November 1, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, a former broker at Banc of America Securities (BAS), and poster boy for the market-timing scandals -- and the first target of Spitzer to say no to a plea offer -- has settled with the SEC.
U.S. Banker September 2007 Lee Conrad	Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading.
Financial Planning July 1, 2005 Donald Jay Korn	How Super Are Hedge Funds? They're today's happening investment, but advisers and clients who are swooning over hedge funds should bear in mind that there are many reasons these super-investments don't deserve their glorified image.
Investment Advisor January 2006 Jeff Joseph	Hedgeworld Hedge Fund Focus: Full Speed Ahead for Hedge Funds SEC regulation, demand for additional transparency, and tales of occasional fraud are but speed bumps on a trajectory that could see hedge fund assets quadruple by the end of the decade.
Investment Advisor August 2006 Joseph & Barreto	Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Investment Advisor October 2009	The Soapbox: What You Need to Know About Hedge Fund Conversions Not all hedge funds can be seamlessly converted into mutual funds.
Investment Advisor December 2005 Savita Iyer	Transatlantic Teachers Hedge funds are big news in the U.S., but old news in Europe. What can we learn from Europe's approach to hedge funds?
Financial Advisor November 2005 Bruce W. Fraser	Hedge Funds Continue To Mushroom While the sector is experiencing growing pains and a high mortality rate, the major challenge hedge funds face today is building capacity to meet growing demand for higher returns from institutions and high-net-worth individuals.
BusinessWeek July 17, 2006 Mara Der Hovanesian	The SEC Isn't Finished With Hedge Funds The SEC is closing in on shady practices despite a setback from a federal court.
BusinessWeek December 1, 2003 Borrus & Dwyer	The Critical Battle For Fund Reform Big investors, Congress, the SEC -- they're all swooping in to curb widespread abuses in the mutual-fund industry.
BusinessWeek May 13, 2010 Robert Schmidt	The Charmed Life of Hedge Funds As banks get a tighter leash, funds may remain lightly regulated
Financial Planning October 1, 2008 Stacy Schultz	What's the Alternative? Bank of America Alternative Investment Solutions studies high-net- worth investors' attitudes toward alternative investments.
BusinessWeek July 28, 2003 Borrus & McNamee	States vs. the SEC: What's All the Shouting for? On the surface, it looks like the fragile alliance between state and federal securities cops is crumbling. There's more -- and less -- going on here than meets the eye.
Registered Rep. October 13, 2005 John Churchill	Market-Timer Banned and Fined Theodore Sihpol III, the former broker at Banc of America Securities (BAS) and poster boy for the market-timing scandals, agreed to pay a $200,000 fine and to accept a five-year ban from the securities industry.
The Motley Fool November 3, 2008 Selena Maranjian	Beware of Crashing Hedge Funds Being locked out of hedge funds might actually benefit you.
Financial Planning July 1, 2006 Dan Wheeler	Hedge Funds, Unplugged Take the buzz out of the hedge fund phenomenon, and you may find less electricity than you think.
The Motley Fool June 20, 2005 S.J. Caplan	7 Reasons to Bid Donaldson a Fond Adieu Investors should appreciate what was accomplished in the SEC chairman's tenure.
Financial Planning December 1, 2005 Marshall Eckblad	Hedge Funds Behind the Curtain New research shows the theoretical underpinning of a potential future line of mutual funds that will offer various hedge fund strategies to average investors.