Sep 14 2006 | 12:00am ET
The man who more or less single-handedly (with an assist from the federal courts) killed the Securities and Exchange Commission’s hedge fund registration requirement has seemingly developed a taste for blood. Phillip Goldstein of Bulldog Investors, who filed the registration suit against the SEC, is taking aim at the regulator’s portfolio disclosure requirement.
Funds and firms managing more than $100 million in equities are currently required to disclose their holdings in 13F filings with the SEC. Having recently reached that plateau himself, Goldstein has decided he doesn’t like that rule, either.
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…