SEC Reviews Bond Trades by Hedge Funds, Devaney’s Firm

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U.S. securities regulators are reviewing a series of trades involving hedge funds and a Florida mortgage-bond dealer to see if they may have inflated prices for illiquid securities, according to.

The U.S. is expanding an investigation into deceptive sales practices by bond traders even though the first major conviction in the area could be overturned. Aided by technology that’s allowing.

Comments Off on The Year in Review: SEC Enforcement Actions Against Investment Advisers Print E-Mail Tweet Accounting , Asset management , Broker-dealers , Conflicts of interest , Disclosure , Dodd-Frank Act , FCPA , Fiduciary duties , Hedge funds , Insider trading , Investment advisers , Private equity , SEC , SEC enforcement , Securities.

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Cantor Fitzgerald is an American financial services firm that was founded in 1945. It specializes in institutional equity, fixed income sales and trading, and serving the middle market with investment banking services, prime brokerage, and commercial real estate financing. It is also active in new businesses, including advisory and asset management services, gaming technology, and e-commerce.

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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.

The Financial Industry Regulatory Authority will also review whether customers get fair prices on electronic bond-trading. fund industry. Finra said it has found some brokers aren’t adequately.

Hedge funds can short sell securities whereas most mutual funds cannot. True. A hedge fund that goes long in a convertible bond and short in the equity of the same firm is employing a market neutral arbitrage strategy.. Hedge funds are mainly trading versions of index funds.

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.