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The SEC adopted amendments to public liquidity-related disclosure requirements for certain open-end funds, requiring them to discuss the operation and effectiveness of their liquidity risk...

Pierre Storrer wrote an article that appeared in the May 2016 issue of the French publication Revue Banque.

Alternative investment firm Ramius Alternative Solutions agreed to be acquired by global asset management firm AllianceBernstein.

Although there's anxiety on Wall Street in the wake of the Federal Reserve's decision this month to raise rates, 361 Capital CIO Cliff Stanton argues in this guest column that the uncertainty will also bring a few bright spots.

Education and access to alternatives remain the largest barriers to funds expanding their presence in this potential growth area.

The SEC adopted rules establishing timely and accurate trade acknowledgment and verification requirements for security-based swap (SBS) market participants that enter into SBS transactions.

For the second time in a month, the SEC rejected a request from Intercontinental Exchange's NYSE Arca exchange to bring a first-of-its-kind ETP tracking bitcoin to market.

The SEC approved a FINRA proposal requiring member firms to disclose the mark-up or mark-down on retail customer confirmations for most transactions in corporate and agency debt securities.

The SEC settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services (ICBCFS) for failing to report suspicious sales...

On June 18, 2019, the SEC issued a concept release requesting comments on, among other things, whether to liberalize the definition of "Accredited Investor"

The SEC's Office of Financial Management released its Registration Fee Estimator, an online tool that calculates registration fees for certain form submissions to the agency's EDGAR database.

In a recent speech, Dalia Blass, head of the SEC's Division of Investment Management, announced that the SEC is focused on expanding retail investor access to alternative fund managers.

In response to hedge funds' chief compliance officers concerns about being targeted by the SEC for enforcement action in the event of any wrongdoing at their firm, Andrew Ceresney...

In a pair of appointments, the SEC named Timothy Husson as associate director in the Division of Investment Management's Risk and Examinations Office and Sara P. Crovitz as deputy chief counsel...

The SEC proposed increasing the net worth threshold for qualified clients from $2 million to $2.1 million as part of a five-year indexing adjustment required by the Investment Advisers Act of 1940.

The SEC is advancing rules to tighten standards on the rapidly growing ETF industry despite objections from asset managers, including BlackRock and Invesco, which argue the rules are unnecessary...

The SEC plans to bring more cases against investment advisers who do not have policies to prevent hacking, specifically in cyber-related cases that focus on regulatory obligations...