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Tag Archives: wall street

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What Last Month’s SEC Ruling Means for Investors


Less than a month ago, the Securities and Exchange Commission lifted the advertising ban on private investments, which means that hedge funds can now promote their products to the general public. Let’s take a closer look at the SEC’s new ruling. The New Ruling According to the new SEC ruling statement that was issued on July 10, there is no longer any ban whatsoever on general solicitation and advertising on private placements. This means that, for hedge fund managers, a wealth of new opportunities has opened up – as well as new challenges. Marketing flexibility has now been expanded for managers of private hedge funds. Is It Good News? As of May of this year, broker-dealers are now required to file new reports with the SEC, ultimately meaning that there will be much more compliance with the Commission’s pre-established financial responsibility rules. These rules are designed to increase protections for ... Read More »

What’s Happening on Wall Street: SAC’s Legal Trouble


If you have been following the news on Wall Street, you may know about the ongoing criminal case against SAC Capital Advisors, which has been indicted for a Criminal Securities Fraud. Let’s take a closer look at just what’s happening with SAC’s hedge fund investor relations and what that means for accredited investors. Suspicion About SAC It started with some suspicious hedge fund investor relations. With hedge funds that deal in equities, there is often a promise of “edge” – the incalculable advantage that an investor has – in exchange for high fees, such as those charged by SAC. On July 25th, several American federal agencies, suspecting untrustworthy behavior, backed a criminal case against SAC Capital, a well-known hedge fund behemoth on Wall Street. The reason for the case: insider trading. Insider trading, an illegal practice, involves trading on the market to the advantage of the individual trader – a ... Read More »

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