The Securities and Exchange Commission oversees and regulations certain entities that provide financial and investment advice or management services. As part of those regulations, the SEC requires the ...

Nathan Reiff has been writing expert articles and news about financial topics such as investing and trading, cryptocurrency, ETFs, and alternative investments on Investopedia since 2016. Bloomberg / ...

Large hedge funds must file a Form 13F with the SEC within 45 days at the end of each quarter. Investors who want to gain insight into what strategy a hedge fund is using, or what stocks its holding ...

This article was written by Kate Lee, Global Head of Enterprise Regulatory Data Solutions, and Thomas Labbe, Global Regulatory Product Manager, Ellena Lee, Global Regulatory Product Manager Short ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

In a vote of 3-2, the SEC adopted new rule 13f-2 and related Form SHO to provide greater transparency of short sale data from which is in response to Section 929X of the Dodd-Frank Wall Street Reform ...