hedgefunds
FINRA Hedge Fund Fines
Filed in archive Hedgetalk by Alex Akesson on January 10, 2008
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The Financial Industry Regulatory Authority (FINRA) announced that it has fined a Houston company, SMH Capital Inc., $450,000 for failing to adopt adequate procedures in its prime brokerage and soft dollar services to hedge funds.

FINRA, the Financial Industry Regulatory Authority, is the largest non-governmental regulator for all securities firms doing business in the United States.

In 2006, members of the public used this service to conduct more than 4.7 million searches for existing brokers or firms and requested more than 207,000 reports in cases where disclosable information existed on a broker or firm.

More at; SMH Capital Fined $450 K for Improper Hedge Fund Sales

Permalink: FINRA Hedge Fund Fines
Tags: hedge+funds  hedge  fund  2007  funds  hedge+fund  finra+hedge 
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