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US Securities and Exchange Commission News

News on US Securities and Exchange Commission continually updated from thousands of sources around the net.

3 hrs ago | Denver Post

Shareholder group takes aim at Chipotle executive pay

"Chipotle is becoming a poster child for pay-for-performance failures," said Michael Pryce-Jones, a senior governance policy analyst with CtW Investment Group, which works with union pension funds overseeing $250 billion in assets.

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Related Topix: Financial Services

7 hrs ago | Business Journal

HomeAway posts lower Q1 profits despite rising revenue

HomeAway Inc. reported Thursday a first-quarter profit of $4.1 million, or 5 cents per share, on revenue $105.7 million compared with a profit of $5.2 million, or 6 cents per share, on revenue of $79.4 million during the same period last year, according to a filing with the U.S. Securities and Exchange Commission .

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Related Topix: HomeAway, Away, Financial Services

11 hrs ago | The Hartford Courant

GM says facing multiple probes into recent recalls

General Motors is facing five different government probes in connection with its recent recalls, the automaker said in a regulatory filing on Thursday.

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Related Topix: Oldsmobile, Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law, Ansonia, CT

14 hrs ago | Reuters

COMPLY-Regulator's broker bonus disclosure plan riles insurers

Some of the loudest critics of a plan to require stockbrokers to tell clients about bonuses they receive for switching firms are not from Wall Street, but from the insurance industry.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

18 hrs ago | Albany Times Union

Plug Power looking to raise $100M

A view of the outside of Plug Power in Latham, NY on Wednesday, Nov. 10, 2010. Fuel cell manufacturer Plug Power of Latham is once again taking advantage of soaring investor interest to sell stock, this time seeking to raise $100 million later this month.

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Related Topix: Plug Power, Electronics, Latham, NY, Sales, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

22 hrs ago | Amarillo.com

SEC filing details pending $21.4M Hastings buyout

Hastings Entertainment began considering selling itself in 2012 as one of several alternatives to a forecasted future of continued losses, according to its latest U.S. Securities and Exchange Commission filing.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Retail, Hastings Entertainment, 2012, Gliese Games, Video Games, Financial Services

Yesterday | CIO

Qualcomm Could Face SEC Probe Over Chinese Bribery Allegations

Qualcomm's activities in China could result in regulatory penalties for the chip vendor, this time from the U.S. Securities and Exchange Commission over bribery allegations.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, US News

Wed Apr 23, 2014

KGWN

Arch Coal writes off DKRW project

Arch Coal, Inc., has written off its total $57.7 million investment in a planned coal-to-liquids plant in southern Wyoming as a loss.

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Related Topix: Mining, Arch Coal, Financial Services

Reuters

Ex-Nvidia manager settles U.S. SEC charges on illegal tips

A former accounting manager for Nvidia Corp has settled with the U.S. Securities and Exchange Commission over allegations he leaked non-public information about the chipmaker that allowed a group of Wall Street analysts to make millions through illegal trades, the SEC announced on Wednesday.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Second Circuit Court of Appeals, US News

Reuters

Bipartisan group slams U.S. SEC for resisting email privacy reform

A coalition of liberals and conservatives is lashing out at the U.S. Securities and Exchange Commission for pushing back against legislation that would force government agencies to get warrants before they access the email of people under investigation.

2 comments

Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Privacy, US Politics, US News, Barack Obama

Customer Interaction Solutions

Allergan Adopts One-Year Stockholder Rights Plan

Yesterday, the Company became aware of the recent rapid and previously undisclosed accumulation of a significant amount of the Company's common stock in connection with an acquisition proposal made today by Valeant Pharmaceuticals, Inc. The Plan is not intended to prevent an acquisition of the Company on terms that the Board considers favorable to, ... (more)

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Related Topix: Allergan, Biotech, Financial Services, Corporate / Securities Law, Law, Marketing

This Is London

Interpublic boss Michael Roth: 'We don't need big deals to be in big time'

He might have been at the top of the industry tree for getting on a decade, but Michael Roth is being forced to play a waiting game like the rest of adland.

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Related Topix: Interpublic Group, Office Equipment, Retail, Global Group of Companies, Public Relations, DDB Worldwide Communications Group, Omnicom Group, Advertising, Financial Services

AlertNet

Democrats urge U.S. SEC to press ahead on conflict minerals rule

A trader weighs gold nuggets at an illegal mine-pit in Walungu territory of South-Kivu province near Bukavu, April 5, 2014 REUTERS/Kenny Katombe WASHINGTON, April 22 - Twelve lawmakers are urging U.S. regulators to implement a new rule requiring companies to disclose if their products contain "conflict minerals" from Africa's Democratic Republic of ... (more)

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Democratic Republic of the Congo, World News, Africa, Financial Services

Sydney Morning Herald

Telstra executive's wife linked to $300k Autohome acquisition

There is no allegation Mr Hon engaged in any wrong doing or that his departure was in any way linked to the transaction.

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Related Topix: Transaction Wireless, World News, China, Asia, Marketing, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Tue Apr 22, 2014

JD Journal

Valeant Pharmaceuticals International Inc. Offers to Buy Botox Giant Allergan Inc.

In a cash-and-stock deal valued at $45.7 billion, Valeant Pharmaceuticals Inc. would give Allergan investors $48.30 in cash and 0.83 percent in Valeant stock for each share they own.

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Related Topix: Biotech, Valeant Pharmaceuticals International, Allergan, Financial Services

Reuters

Texas businessman Wyly takes stand in $550 million securities trial

Texas businessman Sam Wyly took the stand in his civil trial in New York on Tuesday and denied U.S. Securities and Exchange Commission claims that he and his brother used a complex network of offshore trusts to conceal years of stock trades and net $550 million in undisclosed profit.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Michaels Stores, Retail

Reuters

U.S. SEC wins injunction against Canadian tied to penny stock scam

The U.S. Securities and Exchange Commission won a preliminary injunction against a Montreal man it accused of running a penny stock fraud known as "scalping," and who regulators say enjoyed a lifestyle of multiple homes and expensive cars before he became a fugitive.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Just-Drinks.com

US: Three senior execs to leave Beam Inc in wake of Suntory takeover

Beam Inc has announced that its chief financial officer and two other executives are resigning in light of the group being acquired by Suntory Holdings.

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Related Topix: Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law

Reuters

UPDATE 1-PE firm Ares' IPO likely to raise up to $419 mln

Credit investment and private equity firm Ares Management LP said its initial public offering is expected to raise up to $419 million.

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Related Topix: Financial Services

Customer Interaction Solutions

SS&C Technologies Founder, CEO Compensated $40 Million Last Year [The Hartford Courant :: ]

Via Acquire Media NewsEdge) April 21--William C. Stone, founder and CEO of SS&C Technologies Holdings Inc., had a total compensation of $40.06 million last year, according to documents filed April 16 with the U.S. Securities and Exchange Commission.

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Related Topix: SS&C Technologies, SSC Technologies, Software, Financial Services

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