Tag Archives: sec-chairman


SEC To Curtail Abusive Short Sales

HedgeCo.net (West Palm Beach) – The SEC announced several actions protecting against short sales and make more short sale information available to the public. ”Today’s actions demonstrate the Commission’s determination to address short selling abuses while at the same time […]

SEC Outlines Securities Regulators Guidelines

West Palm Beach (HedgeCo.net) – SEC Chairman Mary Schapiro, speaking at the IOSCO 2009 Conference, said today that in light of the current economic crisis and in an attempt to restore confidence to investors, the US is currently examining how […]

SEC Proposes to Further Strengthen Safeguards of Investor Funds

West Palm Beach (HedgeCo.net) – The SEC has proposed rule amendments to substantially increase protections for investors who entrust their money to investment advisers, hedge funds and FoHF’s. The SEC is seeking public comment on the proposed measures, which are […]

SEC needs hedge fund authority-Schapiro

Guardian Unlimited – The U.S. Securities and Exchange Commission needs authority to require hedge fund advisers to register with the agency plus the power to examine funds’ books, the agency’s chairman said on Tuesday. U.S. lawmakers are working to give […]

SEC Publishes Text of Rand Report on Investment Adviser

Washington, D.C., Jan. 3, 2008 – The Securities and Exchange Commission has received and posted on its Web site the text of the RAND Corporation’s final report on practices in the investment adviser and broker-dealer industries. The Commission has been […]

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