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Registered Rep. December 2, 2004 John Churchill	SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew?
The Motley Fool July 15, 2004 Tim Beyers	SEC Hedges on Funds The Securities and Exchange Commission (SEC), in a hotly contested battle, chose to force more regulation on the fund industry. A new rule requires hedge funds to register.
Investment Advisor August 2006 Melanie Waddell	The Playing Field: Will the SEC Appeal? Hedge fund advisor registration has been an extremely contentious issue. Some feel there will be grave consequences for the SEC and the investing public should the House bill requiring registration be shot down.
Wall Street & Technology September 18, 2006	Registration's Lingering Effects It appears as though the ill-fated SEC hedge fund registration requirement will have a lasting effect on many in the hedge fund industry.
BusinessWeek December 27, 2004 Emily Thornton	Hedge Funds Find An Escape Hatch The loophole: Locked-up funds don't require oversight. That means more risk for investors.
Registered Rep. February 22, 2005 Will Leitch	SEC's Roye Out as Mutual Fund Head In a move that casts doubt on the future of mutual fund regulation, the SEC has announced that its chief mutual funds legislator, Paul Roye, will step down, effective immediately.
Wall Street & Technology February 14, 2006	Hedgies Open Their Wallets A new survey finding reflects the large camp of hedge fund managers that believes new SEC registration rules are only the first step in a broader regulatory framework envisioned by the SEC.
Wall Street & Technology January 5, 2005 Maria Santos	The Cost of Compliance The U.S. Securities and Exchange Commission has come under scrutiny again following the adoption of a recent rule regarding hedge funds.
U.S. Banker September 2007 Lee Conrad	Oversight: Hedge Fund Transparency At Issue...Again The Securities & Exchange Commission is attempting to shine a spotlight on the most opaque of investments-hedge funds-by creating a working group in its enforcement division to combat insider trading.
Investment Advisor August 2006 Joseph & Barreto	Hedgeworld Hedge Fund Focus: Regulatory Limbo for Hedge Funds Experts say hedge fund advisors who registered with the Securities and Exchange Commission in response to the now-shelved hedge fund rule aren't likely to see examiners on their doorstep anytime soon.
Investment Advisor December 2006 Melanie Waddell	Democrats and Hedge Funds Will the new party in power turn up the regulatory heat? The SEC itself has gotten more vigilant and expanded its enforcement activities against hedge funds.
Investment Advisor October 2006 Melanie Waddell	A Boon For Hedge Funds? The new Pension Act makes it easier for pension funds to invest in hedge funds.
Financial Advisor November 2003 Alan Lavine	Alternate Ways To Hedge Portfolios Should you put your well-heeled clients into unregistered or registered hedge funds? Or is it better to select a mutual fund that uses hedge-fund tactics and is managed by a registered investment company?
Investment Advisor September 2007 Melanie Waddell	Hedge Funds Continue to Deregister During the past year, 732 hedge fund advisors have deregistered, according to the Investment Adviser Association and National Regulatory Services seventh annual report, Evolution/Revolution, which profiles the advisor profession.
The Motley Fool June 26, 2006 S.J. Caplan	Hedge Funds Rule! A federal court strikes down the new "hedge fund rule." The spotlight now shines on the current SEC chairman, Christopher Cox.
Registered Rep. January 8, 2010 Halah Touryalai	A Hedge Fund Resurgence There is legislation in Congress that would require hedge funds to make greater disclosures about the details of their operations. The increased regulation coupled with a recent uptick in hedge fund performance will likely entice some advisors to put their clients back into hedge funds.
Registered Rep. February 20, 2006 Kevin Burke	MFS Chairman Blasts Hedge Funds at NICSA Confab The chairman of fund complex MFS Investment Management is calling for the formation of a task force to overhaul performance reporting for hedge funds.
BusinessWeek July 19, 2004 Borrus & Dwyer	Lobbying For Laissez-Faire Hedge funds are pouring money into campaign coffers in the U.S. to stop SEC regulation.
Investment Advisor September 2006 Jeff Joseph	Hedge Fund Focus: RIAs Turning to Alternatives A more hands-on approach to investments is being taken by registered investment advisors, including the use of alternative products, according to a new survey.
The Motley Fool February 9, 2007 Dan Caplinger	Millionaires Need Protecting, Too Regardless of how this issue plays out, expect continuing friction between the SEC and the hedge-fund industry. In the meantime, if you want to use alternative investments, you'd best get started toward the new $2.5 million mark.
BusinessWeek February 14, 2005	What Gets the SEC's Atkins Riled Up Says the outspoken commissioner: "We shouldn't take a one-size-fits-all approach" to rule-making
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
Financial Advisor February 2007 Thomas M. Kostigen	Firm Offers Reps Their Own Hedge Funds Independent broker-dealer First Allied's program raises questions about risk and conflicts.
Registered Rep. January 9, 2007 John Churchill	To Hedge Gets Harder The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one's home.
The Motley Fool March 2, 2005	Hedge Funds Explained While the word "hedge" conjures up images of investors cautiously hedging their bets, hedge funds are often extra-risky, volatile investment vehicles that demand huge upfront investments, sometimes in the millions.
Registered Rep. February 23, 2007 Halah Touryalai	Retail Hedge Fund Investors to the SEC: Buzz Off The SEC thinks it needs to do more to protect wealthy retail investors from the secretive world of hedge funds. But many wealthy investors say they can take care of themselves.
BusinessWeek May 13, 2010 Robert Schmidt	The Charmed Life of Hedge Funds As banks get a tighter leash, funds may remain lightly regulated
Registered Rep. November 1, 2002 Dave Tsujimoto	In Defense of Hedge Funds Here's why any rep with high-net-worth clients ought to become familiar with the nuances of hedge funds.
Investment Advisor March 2007 Melanie Waddell	States' Rights The North American Securities Administrators Association's agenda includes preserving state regulators' authority.
Knowledge@Wharton February 26, 2003	The Perils of Hedge Fund Regulation Hedge fund products are increasingly available to a broader audience than previously had access to this asset class. A barrage of news reports focused on hedge fund fraud and blowups raises the idea that regulation might provide a useful fix. So should hedge funds be regulated? No.
Investment Advisor June 1, 2011 Thomas D. Giachetti	From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors.
Wall Street & Technology April 14, 2006 Govind Sandhu	Beyond Registration Persistent compliance efforts may be one of the most critical investments in the success of today's hedge funds.
Investment Advisor July 2008 Melanie Waddell	SEC Chairmen of Yore Speak Six former SEC chairmen pointed to quite a few regulatory challenges that loom large -- namely globalization of the world markets, the burgeoning market for complex synthetic securities, and the continued growth of hedge funds.
Investment Advisor April 11, 2011 Melanie Waddell	SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors While final rules will be out by July 21, SEC will give advisors more time to comply
Financial Planning April 1, 2005	News Digest SEC Investment Chief Heads to Exit... Compliance: Fund Boards Gain Control over Timing Curbs... Companies: American Funds Charged for Kickbacks... Fidelity Boosts Fund Sales... etc.
Investment Advisor April 1, 2011 Thomas D. Giachetti	Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready?
BusinessWeek December 15, 2003 Paula Dwyer	Breach Of Trust The mutual-fund scandal was a disaster waiting to happen. An inside look at how the industry manipulated Washington
Investment Advisor October 2009	The Soapbox: What You Need to Know About Hedge Fund Conversions Not all hedge funds can be seamlessly converted into mutual funds.
Investment Advisor November 2005 Melanie Waddell	The Playing Field: Round Two of Market Timing The SEC designed Rule 22c-2 to help mutual fund companies deal with market timing, but is it working?
The Motley Fool November 15, 2005	Hedge Funds, Explained While the word "hedge" might conjure up images of investors cautiously hedging their bets, hedge funds are often extra-risky, extra-volatile investment vehicles that demand huge up-front investments, sometimes in the millions.
The Motley Fool May 8, 2006 Rich Smith	Hedge Funds for Everyone Here is an interview with John Mauldin, president of Millennium Wave Advisors, about hedge funds, mergers, and buyouts.
BusinessWeek May 20, 2010 Jesse Westbrook & David Scheer	How Big a Hit Will Goldman Take? Congress and the public expect the SEC to extract a big fine
Registered Rep. March 16, 2006 John Churchill	Bear Stearns Fined $250 Million for Securities Fraud The SEC's investigation found that from 1999 through September 2003, the firm provided technology, advice and deceptive devices that helped market timers and late traders evade the firm's own systems as well as those of mutual funds.
Investment Advisor December 2005 Savita Iyer	Transatlantic Teachers Hedge funds are big news in the U.S., but old news in Europe. What can we learn from Europe's approach to hedge funds?
Investment Advisor October 2007 Ronald W. Roge	To Hedge or Not to Hedge The underlying premise of hedge funds, to reduce volatility in a portfolio, is not in itself flawed. What can we do, as fiduciaries, to use them to achieve the performance necessary to meet our clients' long-term financial objectives?
Financial Advisor January 2004 Jay Gould	Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react?
BusinessWeek February 14, 2005 Amy Borrus	Dr. No Digs In At The SEC When the Securities & Exchange Commission voted behind closed doors late last year to fine Goldman Sachs Group Inc. $40 million for allegedly trying to pump up the prices of initial public stock offerings, there was one holdout.
BusinessWeek July 29, 2010 Jesse Westbrook	Whistleblowers Get a Raise The SEC will offer up to 30 percent of the money from fines to reward tipsters.
The Motley Fool December 26, 2006 Dan Caplinger	The SEC's Gift to You Securities regulation helps guard investors against fraud.
HBS Working Knowledge October 6, 2003 D. Quinn Mills	The Problem with Hedge Funds Hedge funds are the New Big Thing -- and that's bad for the average investor, says professor D. Quinn Mills. An excerpt from Wheel, Deal, and Steal.