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SEC Adopts Cross-Border Security-Based Swap Rules Regarding Activity in the U.S.

The Securities and Exchange Commission today voted to adopt rules that require a non-U.S. company that uses personnel located in a U.S. branch or office to arrange, negotiate, or execute a security-based swap transaction in...

SEC Names C. Dabney O’Riordan and Alka Patel as Associate Regional Directors in Los Angeles Office

The Securities and Exchange Commission today announced that C. Dabney O’Riordan and Alka Patel have been named Associate Directors for Enforcement in the agency’s Los Angeles Regional Office. Ms. O’Riordan began working i...

Monsanto Paying $80 Million Penalty for Accounting Violations

The Securities and Exchange Commission today announced that St. Louis-based agribusiness Monsanto Company agreed to pay an $80 million penalty and retain an independent compliance consultant to settle charges that it violat...

Private Funds Statistics (2014 Q4 (revised), 2015 Q1, 2015 Q2)

http://www.sec.gov/divisions/investment/private-funds-statistics.shtml

No Action Letter: Fiduciary/Claymore MLP Opportunity Fund

Fiduciary/Claymore MLP Opportunity Fund

Guidance Update: Mutual Fund Distribution and Sub-Accounting Fees

Guidance Update: Mutual Fund Distribution and Sub-accounting Fees