| Similar Articles |
|---|
 |
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?   |
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. |
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. |
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
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. |
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. |
The Motley Fool
July 15, 2004
Tim Beyers |
SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register. |
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. |
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. |
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.
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. |
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
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. |
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. |
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. |
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. |
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. |
Investment Advisor
April 11, 2011
Melanie Waddell |
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply |
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.
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. |
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. |
BusinessWeek
May 13, 2010
Robert Schmidt |
The Charmed Life of Hedge Funds As banks get a tighter leash, funds may remain lightly regulated |
Registered Rep.
April 8, 2005
John Churchill |
`Merrill Rule' Debate Not Over The SEC unanimously voted to allow Series 7 holders, or registered reps, to position themselves as financial advisors -- with certain caveats. But once again the SEC seemed to hedge its bet. So the debate rages on. |
Registered Rep.
October 1, 2005 |
Hedge Funds Set to Boil Investors looking to beat the average returns of the market will be heading to hedge funds and funds of hedge funds even more in the future, says new research. |
Investment Advisor
March 2007
Melanie Waddell |
States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority. |
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. |
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. |
Investment Advisor
March 2009
James J. Green |
HedgeWorld: And So It Begins Now that the 111th Congress has been seated and the 44th President of the United States inaugurated, the first stirrings of hedge fund legislation and increased regulation have been sighted. |
Investment Advisor
December 2006
Melanie Waddell |
Democrats and Hedge Funds Will the new party in power turn up the regulatory heat? The SEC itself has gotten more vigilant and expanded its enforcement activities against hedge funds. |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
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. |
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. |
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. |
Registered Rep.
June 25, 2010
Kristen French |
The Final Wall Street Reform Bill And You After a herculean 20-hours straight of negotiations, Congressional committee members agreed Friday morning to a Wall Street reform package that will be much tougher on the country's banks. |
Investment Advisor
September 2006 |
Upgrades SEC Commissioner Christopher Cox said August 7 that the SEC will not appeal the D.C. Circuit Court of Appeals' decision in Goldstein v. SEC... According to Barclays Global Investors, exchange traded fund flows surged in June... etc. |
CFO
February 1, 2006
Don Durfee |
Meet Your New Bankers Hedge funds have a pile of cash to lend. Should you take it? |
BusinessWeek
July 9, 2007 |
In Defense Of Hedge Funds A high-net-worth investment adviser takes on those who say the glory days of hedge fund investment opportunities are over. |
Financial Planning
October 1, 2005
David Twibell |
Background Check With interest in alternative investments on the rise, many advisers are looking for new ways to evaluate which, if any, make sense for their clients. |
Registered Rep.
July 12, 2011
Kristen French |
SEC Raises Performance Fee Threshold for Investment Advisers; CFA Backs Off Opposition to SRO Under an SEC order issued today, it will require considerably more wealth or assets for an investor to qualify to pay an investment adviser performance fees. |
Investment Advisor
October 2006
Melanie Waddell |
A Boon For Hedge Funds? The new Pension Act makes it easier for pension funds to invest in hedge funds. |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
Registered Rep.
October 26, 2004
David A. Gaffen |
Citi Fined by NASD for Hedge Fund Marketing Citigroup was censured and fined, but neither admitted nor denied the charges. A company spokeswoman said the firm "took immediate action in cooperating fully with the NASD to make sure all materials comply with current NASD guidance." |
Financial Planning
April 1, 2005 |
News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc. |
Investment Advisor
November 2009
Melanie Waddell |
SEC Sets Out Strategic Plan The Securities and Exchange Commission publishes its Draft Strategic Plan outlining the Commission's strategic goals for 2010 through 2015. |
Wall Street & Technology
April 14, 2006
Govind Sandhu |
Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds. |
Investment Advisor
March 2006
Melanie Waddell |
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. |
Financial Advisor
May 2004
Gene Swanzey |
Hedge Funds Can Complement Modern Portfolio Theory Active management can result in higher risk-adjusted returns. |
On Wall Street
December 1, 2010
Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services. |
BusinessWeek
February 6, 2006
Emily Thornton |
More Heat On Hedge Funds As if there weren't enough controversy surrounding hedge funds, now the Securities & Exchange Commission is investigating suspicions that fund employees are engaging in insider trading. |
CFO
February 1, 2005
Ronald Fink |
Finders Keepers The SEC is hearing new demands to make it easier for small companies to raise capital. |
