The Securities and exchange commission today announced that New york-based hedge fund advisory firm sigma Capital Management has agreed to pay nearly $14 million to settle charges that the firm engaged in insider trading based on nonpublic information obtained through one of its analysts about the quarterly earnings of Dell and Nvidia Corporation.
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In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period.
SEC Said To Review Bond Trades By Hedge Funds, Devaney’s Firm. reviewing a series of trades involving hedge funds and a Florida mortgage-bond dealer to see if they may have inflated prices for.
Fortunately, today investors do not have to pay hedge-fundlike fees to access managed futures. Instead, lower-cost ETFs and mutual funds are available. (Full disclosure: My firm. Trading Advisors,”.
Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams, refer to FINRA Rule 1210 and FINRA Rule 1220(b)(8) .
The Advertising Regulation Department protects investors by ensuring that broker-dealers’ communications are fair, balanced and not misleading and comply with the advertising rules of FINRA, the SEC, the MSRB and SIPC.. The Department helps FINRA members understand and apply these advertising rules through its filings review program, published guidance and outreach.
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The Securities and Exchange Commission today announced the hedge fund advisory firm Visium Asset Management LP has agreed to settle charges related to asset mismarking and insider trading by its privately managed hedge funds and portfolio managers. Separately, the firm’s CFO agreed to settle charges that he failed to respond appropriately to red flags that should have alerted him to the.
The firm’s trading department also has separate divisions-most likely according to the type of securities being traded – such as bonds, stocks, and various other specialized financial instruments.
The Armonk, New York-based firm had targeted a now-bankrupt unit of Ally Financial Inc. that issued the securities involved. The documents showed a mortgage-review firm. based hedge fund Sunesis.