Regulator says firm issued misleading quarterly reports and marketing materials for private equity fund
Proposed rules would replace voluntary compliance program with enforceable rules surrounding technology systems
Compliance exams reveal custody-related issues in about one-third of firms
Regulator seeking public input on benefits and costs
New Stream Capital offers plead not guilty
U.S. regulator to focus on sales practices and fraud
U.S. regulator obtains emergency asset freeze of Swiss trading account
Fisher will become acting director of the U.S. regulators office of international affairs
Former SEC employees hired by Wall Street firms help their new employers to influence regulator and blunt enforcement actions, POGO argues
Lifting the ban may present investors with risk from misleading advertising from alternative asset managers