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  1. U.S. retail brokers warn 'tick size' plan to boost investor costs

    Headlines

    Tue, 23 Dec 2014

    NEW YORK, Dec 23 (Reuters) - A plan by the U.S. Securities and Exchange Commission to widen the minimum trading increments of some small-cap stocks to test if that would spur more trading could end up harming

  2. SEC suffers setback in bid for more damages against Texas' Wylys

    Headlines

    Fri, 19 Dec 2014

    NEW YORK, Dec 19 (Reuters) - The U.S. Securities and Exchange Commission suffered a setback Friday in its efforts to collect a bigger judgment against Texas tycoon Sam Wyly and his late brother Charles' estate than the nearly $300 million it has already won.

  3. Ex-State Street executives to appeal SEC ruling in crisis-era case

    Headlines

    Thu, 18 Dec 2014

    WASHINGTON, Dec 18 (Reuters) - Attorneys for two former State Street Corp executives plan to file an appeal after the U.S. Securities and Exchange Commission this week partially reversed a judge's...

  4. Hedge fund Brevan Howard launches Argentina fund - SEC filing

    Headlines

    Thu, 18 Dec 2014

    LONDON, Dec 18 (Reuters) - Brevan Howard, one of Europe's biggest hedge fund managers, has launched a fund to invest in Argentinean assets, a filing with the Securities and Exchange Commission showed.

  5. Tuttle Tactical Management Weekly Market Notes

    Headlines

    Wed, 17 Dec 2014

    Tuttle Tactical Management, LLC is an investment adviser registered with the U.S. Securities and Exchange Commission . You should not assume that any discussion or information contained in this letter serves as the receipt of, or as a substitute for, personalized investment advice from Tuttle ...

  6. UPDATE 1-US SEC says dropping insider trading case related to Herbalife

    Headlines

    Mon, 15 Dec 2014

    WASHINGTON, Dec 15 (Reuters) - The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife.

  7. The SEC Targets Bond Funds

    Headlines

    Mon, 15 Dec 2014

    cannot determine true risk exposures. The SEC wishes to change that. The commission ..... custom derivatives--but I do salute the SEC 's intention. (There is a second aspect to derivatives reporting that the SEC is not pursuing. Even if each individual

  8. US SEC says dropping insider trading case related to Herbalife

    Headlines

    Mon, 15 Dec 2014

    WASHINGTON, Dec 15 (Reuters) - The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife.

  9. Petrobras Delays Filings Again; Aims to Be Free Cash Flow Positive in 2015 but Short on Detail

    Commentary

    Mon, 15 Dec 2014

    figures and its balance sheet position. The latest delay was primarily the result of new developments ( Securities and Exchange Commission investigation, class-action lawsuit) in the ongoing corruption scandal. Importantly, however

  10. Hedge Funds’ Snob Appeal

    Headlines

    Fri, 12 Dec 2014

    enjoy an aura of exclusivity. The Securities and Exchange Commission requires that only this type of investors ..... ways. To borrow key passages from the SEC ’s hedge fund overview and its larger ..... delivering on their promises. Because the SEC presumes that accredited investors

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