Inside the Fall of Bear | New Job Hunt Wrinkle?

SEC Now Recruiting: Salaries up to $237K

Wall Street Elite Head Back to School

SEC Registration Bill Advances, But Now What ? Practical Advice on How to Prepare
Following last week's House Committee on Financial Services clearing a bill that would require most alternative investment fund managers to register with the SEC you may wish to read an overview of how and what to do to prepare your Firm for Registration.In a column late this summer Thomson's BuyoutsNews prodded buyout shops to take a stronger stand against proposed legislation requiring them to

SEC may raise RIA threshold to $100M, moving many under state regulation
Some 4,200 advisory firms can expect more oversight and higher costs under legislation that would remove them from SEC oversight and place them under state regulation. Investor Protection Act of 2009, which the House Financial Services Committee is expected to approve this week, contains an amendment by Rep. Barney Frank (photo), that would raise the threshold for SEC registration of investment

S.E.C.'s Madoff Investigation Exhibits
S.E.C. inspector general, H. David Kotz concluded in his full report that inexperienced and sometimes incompetent staff members had failed to adequately investigate numerous warnings and tips about the enormous Ponzi scheme.New exhibits consist of 6,157 pages of interviews, letters, e-mail messages, telephone records and other background material gathered during a 10-month investigation of how

FINRA Calls for Surveillance by “Unified Single Regulator” & Studying Facebook
Rick Ketchum, FINRA chairman and CEO called for the creation of a single repository of data on all trades on all markets so that the financial industry could be “surveilled by a unified single regulator.” A single regulator can “bring the best technology, the best people, and a unified set of rules” to bear on markets. He called his proposal “somewhat daunting” but “a significant undertaking and

Registration Bill Includes One-Year ‘Transition,’ Requires Compliance Officers
By FinAlternatives, October 27, 2009For some time now, hedge fund registration in the U.S. has been only a matter of time. Now, we have a better idea of just how much time.The House Financial Services Committee yesterday approved a bill that includes a one-year transition period before registration with the Securities and Exchange Commission becomes mandatory. The bill’s author, Rep. Susan Kosmas