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The Nasdaq Stock Market is seeking to expand the market for alternative investment funds with a blockchain-based payment and settlement process.

Northern Trust launched North America Alternative Fund Services, which combines its private equity and hedge fund services businesses to address the complex operational and strategic needs the alternative asset management industry.

Fund managers considering opportunities in permanent capital vehicles have a variety of alternatives to choose from.

In this article, David Katz, the president and COO of Larch Lane Advisors, shares three key lessons for financial advisors and investors on managing a liquid alternatives fund. His expertise stems from Larch Lane Advisors forming a joint venture with Rothschild Asset Management in 2014 to manage the Rothschild Larch Lane Alternatives fund.

The SEC proposed rules and amendments designed to promote research on registered closed-end funds, mutual funds, exchange‑traded funds, BDCs, and similar covered investment funds.

The Rational Dynamic Momentum Fund was converted from Chesapeake Capital's flagship managed futures hedge fund.

Dalia Blass, who previously served as assistant chief counsel for the division, is rejoining the SEC as director of the investment management division, replacing David Grim.

The SEC named Jane Jarcho as the deputy director of the Office of Compliance Inspections and Examinations (OCIE).

Experts say proposed SEC regulations that would require mutual funds to have a minimum cash cushion and liquidity risk management programs in place could have a broad impact on retirement plans.

The SEC proposed Rule 610T of Regulation NMS to conduct a Transaction Fee Pilot in NMS stocks.

The no-action relief provides a path for market participants to comply with the research requirements of MiFID II in a manner that is consistent with U.S. federal securities laws.

Finally, the rules will also promote effective liquidity risk management across the open-end fund industry and will enhance disclosure regarding fund liquidity and redemption practices.

On Jan. 17, the U.S. Court of Appeals for the Second Circuit vacated the decision of the District Court for the Southern District of New York in Marblegate Asset Management, LLC v. Education Management Finance Corp., finding that Section 316(b) of the Trust Indenture Act (TIA) "prohibits only non-consensual amendments to an indenture's core payment terms."

The article discusses how director roles have changes over the last 75 years as a result of a series of SEC actions.

They are completed in the first and third quarters of the calendar year.

The U.S. Department of Treasury (the "Treasury Department") issued a report titled A Financial System That Creates Economic Opportunities (Banks and Credit Unions) on June 12, 2017...

UBS Group agreed to pay $17.5 million to settle SEC charges that two of its firms failed to disclose that a closed-end fund they advise had changed its investment strategy to include risky credit default swaps.