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“What Is” The JOBS Act?
The Jumpstart Our Business Startups (JOBS) Act, signed into law by President Obama on April 2012, is intended to encourage the growth of small businesses and start-ups by helping with funding and...
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“What Is” FINRA?
The Financial Industry Regulatory Authority (FINRA) is the largest, independent regulator of securities firms working in U.S. trading markets. A non-governmental and non-for-profit organization,...
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Areas of Focus for Private Equity Managers in 2013
Guest Contributor: Amelia Stoj, Vice President of HedgeOp Compliance, an IMS Group company As it is 2013, it is important for SEC registered private equity managers to focus on upcoming filing...
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“What Is” The Flash Crash?
The Flash Crash, which happened after 2:30 pm EST on May 6, 2010, was a sudden, massive drop and recovery in securities prices. During the crash, the Dow Jones Industrial Average fell by nearly 1,000...
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“What is” a Hedge Fund
A hedge fund is a private partnership investment fund that uses complex investment strategies with the goal of maximizing returns on the funds’ underlying investments. Accredited investors run hedge...
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“What Is” Corporate Governance?
Corporate governance is defined as the framework of rules that provide direction for a company’s business functions. These guidelines helped executives, board members and other managers run a company...
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SEC Socializes Public Disclosure
Eric Hazard, Intermarket Communications Guest Contributors: Eric Hazard and Jade Faugno, Intermarket Communications In the immortal words of Heraclitus, “change is the only constant,” and once again...
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Whitepaper: What to do when (and before) SEC examiners arrive in your office
Are You Compliance-Ready? 12 Timely Takeaways for Preparing for the SEC’s 2013 Examination Priorities Click here to download Discover: - What the changing regulatory landscape means for you - What the...
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Tax Alert on Recently Announced Relief on Money Market Fund Floating NAV Wash...
Guest Contributor: Stevie D. Conlon, Senior Director and Tax Counsel, Wolters Kluwer Financial Services The author thanks John Kareken and Anna Vayser of Wolters Kluwer Financial Services for their...
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Can Good Come from the Sins of Wall Street?
January 20, 2015 by Eugene Grygo (Contribution from Minding the Gap, a blog by FTF News editor, Eugene Grygo.) Thanks to the fines imposed upon Wall Street and insurance firms for their sins during the...
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