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Showing 81 - 90 of 129 results for "The Securities and Exchange Commission"

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
... would apply to firms managing more than US$100 million which are registered directly with the Securities and Exchange Commission (SEC). Firms with less than this threshold in funds under management are normally registered through State authorities and ...

Buffett discloses new Verizon investment

AAP  |  FRIDAY, 16 MAY 2014
... the changes to its $US106 billion ($A114.69 billion) portfolio in documents filed with the Securities and Exchange Commission that show what the company owned at the end of March. The Verizon investment was the only new one disclosed. Berkshire bought ...

FBI launches probe into high speed traders

MARK SMITH  |  THURSDAY, 3 APR 2014
... high frequency trading (HFT) firms are involved in insider trading. According to reports, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission are looking into ties between high-speed traders and major exchanges ...

SEC prioritises cybersecurity

ALEX DUNNIN  |  THURSDAY, 13 MAR 2014
... Nevertheless there is a view that cybersecurity is an issue primarily for large firms, but the Securities and Exchange Commission (SEC) has signalled that it's equally important for small firms because every point of access to financial system network ...

Republicans vote that advisers have no best interest duty

ALEX DUNNIN  |  FRIDAY, 1 NOV 2013
... Republican-sponsored bill requires that implementation of the fiduciary test provision be delayed until the Securities and Exchange Commission (SEC) has conducted further research on how such measures would impact retail investors. The SEC and DOL want ...

US regulator lifts hedge fund advertising ban

MARK SMITH  |  FRIDAY, 12 JUL 2013
... intended to protect unsophisticated investors from high risk, illiquid investment pools. The Securities and Exchange Commission (SEC) approved the change by a 4-to-1 vote. Democratic Commissioner Luis Aguilar, who voted against the changes, said in a ...

Buffett gives $2 billion to Gates Foundation

MARK SMITH  |  TUESDAY, 9 JUL 2013
... million share to each of his three children's' foundations. According to an announcement on the Securities and Exchange Commission, Buffett converted 14,000 class A shares to 21 million class B shares on 5 July to complete the donation. In 2006 Buffett ...

SEC charges US adviser with pension fund theft

ALEX DUNNIN  |  THURSDAY, 13 JUN 2013
The US regulator the Securities and Exchange Commission has charged the leader of a Detroit-based investment adviser for stealing nearly $3.1 million from a public sector pension fund. The SEC alleges that Chauncey C Mayfield, who is the founder, president ...

SEC consults direct to the public

ALEX DUNNIN  |  TUESDAY, 5 MAR 2013
The Securities and Exchange Commission in the US is appealing directly to the public in a review of whether to make new rules about regulatory obligations for broker-dealers and retail investment advisers. The initiative stands in contrast to Australian ...

ETN fears grow following price plunges

ALEX DUNNIN  |  TUESDAY, 10 APR 2012
... has plunged due to its promoter stopping the issuing of supporting stock and they fear the Securities and Exchange Commission's inertia is because they do not understand the products themselves. "Wall Street has done such an outstanding job of manufacturing ...