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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 October 2006 Melanie Waddell	A Boon For Hedge Funds? The new Pension Act makes it easier for pension funds to invest in hedge funds.
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 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.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
BusinessWeek May 13, 2010 Robert Schmidt	The Charmed Life of Hedge Funds As banks get a tighter leash, funds may remain lightly regulated
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.
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.
Investment Advisor January 2006 Barreto & Joseph	Hedgeworld Hedge Fund Focus: ERISA Ponders Alternatives As more pension fund money has been flowing into hedge funds -- catching the eye of the SEC and perhaps pushing the move to manager registration -- legislators have acted to ease pension fund access to hedge funds.
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.
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. September 19, 2007 John Churchill	Report Criticizes SEC Investigation Process In particular, the Government Accountability Office said the division hasn't been updating case progress sufficiently and that a backlog of open cases is still a problem.
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.
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?
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.
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. 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.
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 January 2006 Melanie Waddell	The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE).
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 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.
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.
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.
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.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
CFO June 1, 2009 Reason & Stuart	Crackdown Alert After a GAO report documents a slowdown in the SEC's case generation and penalty volume under former chairman Christopher Cox, the regulator's new leaders talk tough.
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.
Investment Advisor March 2009 Melanie Waddell	Reform Is on the Way SEC Chairwoman Mary Schapiro is laying the groundwork for a significantly beefed up enforcement division at the Commission.
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 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.
Investment Advisor August 2009 Melanie Waddell	Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors.
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.
Registered Rep. August 17, 2005 Kevin Burke	NASD Tightens Noose on Hedge Fund Sales Practices A top National Association of Security Dealers official said on Wednesday that the regulatory agency has launched an investigation into brokers selling hedge funds to individual investors without alerting them to the potential risks.
Investment Advisor March 1, 2011 Melanie Waddell	SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer.
Investment Advisor October 2007 Melanie Waddell	Helping the Most Vulnerable Retirees Lawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors, the most vulnerable retirees, are closely scrutinized.
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. 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.
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 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.
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?
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 July 2009 Melanie Waddell	Danger & Opportunity: Bracing for Change It looks to be all but inevitable that the rules for broker/dealers and investment advisors will be harmonized, and that broker/dealers offering investment advice will have to adhere to a fiduciary standard of care.
Investment Advisor April 2010 Melanie Waddell	Washington Watch: The Shape of Reform Begins to Sharpen Dodd's bill calls for SEC study, not a fiduciary standard; advisors await final markup.
Investment Advisor June 2009 Melanie Waddell	Danger & Opportunity: Obama and SEC Enforcement Under Microscope As the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting a much-needed $40 million cash infusion that Congress promised was on its way.
Investment Advisor May 2009 Melanie Waddell	Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms.
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."
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 October 1, 2006 Alix Nyberg Stuart	Are Your Secrets Safe? A shift in banks' business model raises questions about conflicts.
Investment Advisor November 2009 Melanie Waddell	Danger & Opportunity: Healthcare, Financial Services Reform Making Headway Two of the Obama Administration's top priorities to accomplish by year-end -- healthcare and financial services reform -- are well on their way to fruition.
CFO October 1, 2011 Sarah Johnson	Is the SEC Being "Set Up to Fail"? A bill would raise the threshold for how the securities regulator sets rules.