Tag Archives: SEC

SEC examining ‘alternative’ mutual funds

Federal regulators are scrutinizing a type of mutual fund that’s potentially riskier than conventional funds and is growing in popularity, prompting concerns over possible harm to ordinary investors. The Securities and Exchange Commission has disclosed that it’s conducting a “national ...

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SEC lifts ban on hedge fund advertising

WASHINGTON — For the first time, hedge funds will be allowed to advertise to the general public under a rule adopted Wednesday by federal regulators. The Securities and Exchange Commission voted 4-1 to lift a decades-old ban that prevents hedge ...

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Ruling against SEC a win for defense bar

The five-year discovery clock starts ticking when fraud occurs, not when the government finds out about it, the U.S. Supreme Court has ruled for cases where the Securities and Exchange Commission seeks civil penalties, Gabelli v. Securities and Exchange Commission, ...

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