Mar 25 2010 | 12:20pm ET
Hedge funds Appaloosa Management and Carlson Capital are under investigation for allegedly covering short-sales with stocks bought in secondary offerings.
The two firms are among the hedge funds whose trades are getting a look-over from the Securities and Exchange Commission. At issue is an “antimanipulation rule,” Rule 105, which bars investors with a short interest in a stock five days before a stock offering from participating in the stock sale, generally at a reduced price.
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…