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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.

15 hrs ago | GlobeNewswire

Zoom Technologies - Late Filing of 2013 Annual Report

Zoom Technologies, Inc. today announced it is late in filing its Annual Report on Form 10-K for the fiscal year ended December 31, 2013 with the US Securities and Exchange Commission.

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Related Topix: Telecom, Computers, Zoom Technologies, Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law

20 hrs ago | Bloomberg

SEC Said to Weigh Shining Light on Brokers' Stock Routing

The U.S. Securities and Exchange Commission is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made without the client's best interests at heart.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, T Rowe Price Group, Investment Services

Yesterday | Business Journal

E&Y out, Grant Thornton in at Health Insurance Innovations

It is not unusual for public companies to change accounting firms, and there are lots of reasons why, including the cost of the audit, the timing of procedures, and conflicts or disagreements, according to eHow.com.

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

Yesterday | JD Supra

DOJ's Use of Expansive Legal Theories Broaden FCPA Jurisdiction

Enacted in 1977 in response to the revelation of widespread bribery of foreign officials by U.S. companies, the Foreign Corrupt Practices Act was "intended to halt those corrupt practices, create a level playing field for honest businesses, and restore public confidence in the integrity of the marketplace."

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

Fri Apr 18, 2014

VentureBeat

Funding Daily: The one about that $500M Airbnb investment

Get all the tech funding news of the day delivered straight to your mailbox! Sign up for Funding Daily and never miss a deal.

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Related Topix: AirBnB, Financial Services

Business Journal

Stock, option awards boost Chuck Sykes' pay 20 percent

Compensation for Charles Sykes, president and CEO of Sykes Enterprises Inc., jumped 20 percent in 2013, to nearly $3.7 million.

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Related Topix: Sykes Enterprises, Computers, Advertising, Financial Services

Customer Interaction Solutions

Two Portfolio Companies of Keating Capital File for Proposed IPOs

Today Keating Capital, Inc. , a closed-end fund that has elected to be regulated as a business development company under the Investment Company Act of 1940, notes that two of its portfolio companies, TrueCar and Zoosk, have filed registration statements with the U.S. Securities and Exchange Commission is a closed-end fund that specializes in ... (more)

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Goldman Sachs, Investment Services, Cohen Group, Consulting, Banking, JP Morgan Chase

Iol.co.za

Barclays sells largest note tied to Facebook

Barclays sold $37.9 million of structured notes tied to shares of Facebook, the largest such offering in the US.

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Related Topix: Startups, Facebook, Financial Services, Mark Zuckerberg, Mobile Marketing, Science / Technology, Virtual Reality, Computers

CIO

Enterprise Who? Google Says Little About Apps, Business Cloud Services in Q1 Report

Google did little during its first-quarter earnings report to shush critics who say its Enterprise unit is a second-class citizen in its kingdom.

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Related Topix: Google, Startups, CIO News, Forrester Research, Advertising, Financial Services, Cloud Computing, Science / Technology

Thu Apr 17, 2014

AlertNet

China's new breed of whistleblowers takes on big business

Chinese lawyer Hao Junbo wants to make you rich if you're a whistleblower after a bounty.

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

Washington Times

Duke: Coal ash spill won't affect bottom line

Duke Energy told shareholders Thursday that cleanup costs resulting from its massive coal ash spill into the Dan River won't have a material effect on the $50 billion company's bottom line.

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Related Topix: Duke Energy, Energy, Financial Services, North Carolina, Pat McCrory, US Governors

Newsday

Ex-BP worker fined over shares trade

A former BP employee, who oversaw the cleanup of the oil spill in the Gulf of Mexico in 2010, will pay $224,118 to settle an insider trading charge.

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

Reuters

U.S. SEC proposes rules for security-based swap dealers

The U.S. Securities and Exchange Commission proposed rules for banks trading in security-based swaps, a type of derivative, the regulator said on Thursday, laying out how to keep records of their trades and how to report them.

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

ABC News

Weibo Shares Jump in Market Debut

Weibo provides a Twitter-like service that allows users to post up to 140 Chinese characters to share with others.

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Related Topix: Financial Services

Boston.com

Feds Raid Mass. office of TelexFREE in $1 Billion Ponzi Scheme Probe

In this Tuesday, April 15, 2014 photo, Homeland Security Investigators raid telecommunications and marketing firm TelexFree in Marlborough, Mass.

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Related Topix: Marketing, Marlborough, MA, Financial Services

Sys-Con Media

Leju Announces Pricing of Initial Public Offering

The underwriters have been granted a 30-day over-allotment option to purchase up to an additional 1,500,000 ADSs from Leju.

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Related Topix: 10,000,000, EightyEight Games LTD, Video Games, Corporate / Securities Law, Law, Securities and Exchange Commission, Science / Technology, Internet, Search Engines, Media, Computers, Sina, Financial Services

Law.com

Experts Seek the Right Regulatory Box for Bitcoin

Following a series of multimillion-dollar thefts and losses, federal regulators want to step up their oversight of virtual currency bitcoin.

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Related Topix: Economics News, Bitcoin, Computer Security, Science / Technology, Financial Services

Wed Apr 16, 2014

Caribbean News Now!

Wall Street executives arrested in Venezuela bribery scheme

The chief executive officer and a managing partner of a New York-based US broker-dealer were arrested on Monday on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela's state economic development bank.

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

Customer Interaction Solutions

Zoosk Files Registration Statement for Proposed Initial Public Offering

The number of shares to be offered and the price range for the proposed offering have not yet been determined.

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Related Topix: Online Dating, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Oppenheimer Holdings, Investment Services

Reuters

Online dating website Zoosk files for IPO of up to $100 million

Online dating website Zoosk Inc filed with U.S. regulators on Wednesday to raise up to $100 million in an initial public offering of common stock.

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Related Topix: Zoosk, Online Dating, Financial Services, Venture Capital, Emerging Technology

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