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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.

11 hrs ago | Business Journal

Parker Drilling compliance chief shares FCPA strategy

When it comes to corporate compliance with anti-bribery laws, a one-size-fits-all approach may yield the best results, according to Dan Chapman , chief compliance officer at Houston-based Parker Drilling Co.

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Related Topix: Parker Drilling, Energy, Oil & Gas, Financial Services

Yesterday | Reuters

NYSE cancels irregular trades in Anadarko stock: Bloomberg

Trading in the shares of the $45.15 billion company plunged to trade at 1 cent per share shortly before markets closed on Friday.

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Related Topix: Financial Services

Fri May 17, 2013

Bloomberg

SAC Says Cooperation With U.S. No Longer - Unconditional'

SAC Capital Advisors LP, Steven Cohen 's $15 billion hedge-fund firm, told investors it's no longer cooperating unconditionally with the U.S. government's insider-trading investigation.

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

Fox News

Former BMO Analyst to Pay C$1.2 Million to Settle Insider-Trading Charges

A former investment-banking analyst at a unit of Bank of Montreal agreed to pay a total of 1.2 million Canadian dollars among other penalties to settle insider-trading charges, as Canada's biggest securities regulators continue to clamp down on inappropriate trading activity.

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Related Topix: Bank of Montreal, Banking, Financial Services, Business News

BioSpace

PTC Therapeutics, Inc. Files for a $85 Million IPO Following Failed IPO Attempt in 2006

Staying up-to-date has never been simpler. Sign up for the free GenePool newsletter today! PTC Therapeutics, Inc.

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Related Topix: Biotech, Medicine, PTC Therapeutics, Healthcare Industry, Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law

Applied Clinical Trials

PRA Holdings, Inc. Announces Submission of Draft Registration Statement for Initial Public Offering

PRA Holdings, Inc. announced today that it has submitted a confidential draft registration statement on Form S-1 to the U.S. Securities and Exchange Commission for a possible initial public offering of shares of its common stock .

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

CNN

The big funds on Apple: Who bought and who sold last quarter

Any institution with more than $100 million in equities under management was required to file a Form 13f Wednesday telling the U.S. Securities and Exchange Commission what stocks they bought and sold last quarter, and once again Apple was the No.

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Related Topix: Apple, Startups, Financial Services

Reuters

UPDATE 1-Knight near settlement on trading glitch probe -sources

Knight Capital Group is close to settling a U.S. Securities and Exchange Commission probe into the automated trading firm's Aug.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Investment Banking, Jefferies Group, Investment Services

Fox News

U.S. Regulators Target Exchanges

Financial regulators are taking a harder line on exchanges amid concerns over their ability to police the markets they operate, as the SEC prepares to hit one with a record penalty.

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

Thu May 16, 2013

Business Journal

Software maker Prospx raises $8.2M financing

The Austin-based company collected the capital from 39 investors, according to a Thursday filing with the U.S. Securities and Exchange Commission .

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Related Topix: ProspX, Financial Services

MLive.com

Esperion Therapeutics seeking $70 million in IPO filing

In documents filed Tuesday with the U.S. Securities and Exchange Commission , the company declared that it is setting a $70 million goal for the initial public offering and will be traded on the Nasdaq Stock Market under the symbol ESPR .

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Related Topix: Esperion Therapeutics, Biotech, Medicine, Healthcare Industry, Financial Services, Lipitor, Atorvastatin (generic)

Reuters

Empire State Building REIT closes in on investor approval

A plan to roll the Empire State Building into a real estate investment trust is a whisker away from obtaining the necessary investor approval for a stock offering allowing the public to own a piece of the iconic skyscraper, according to a regulatory filing on Thursday.

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Related Topix: REIT, Personal Finance, Financial Services

Denver Post

Former Delta CEO says insider tips were to be confidential and unused

Admitted illegal inside trader Michael Van Gilder broke a promise not to act on information that billionaire Kirk Kerkorian was about to buy into Delta Petroleum, its former CEO says in court papers.

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Related Topix: Delta Petroleum, Energy, Oil & Gas, Economics News, Bankruptcy, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Reuters

Hedge funds shop at Supervalu, sour on Apple

Barry Rosenstein's JANA Partners liked grocery chain Supervalu Inc in a big way in the first quarter, while Philippe Laffont's Coatue Management lost its stomach for the company's shares.

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Related Topix: Supervalu, Food, Retail, Grocery, Apple, Startups, Financial Services

Reuters

SEC says new settlements end 'Golden Goose' insider trading case

The U.S. Securities and Exchange Commission on Wednesday said it has reached settlements with the last two defendants in an insider trading probe known as the "Golden Goose" case, which had been based on secrets stolen from an executive at a public relations firm.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, TakeTwo Interactive Software, Video Games, Software

Wed May 15, 2013

The Washington Post

Jana Partners Took Stakes in Zynga, Groupon in First Quarter

Jana Partners LLC, the hedge-fund manager run by Barry Rosenstein, took stakes in Zynga Inc.

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Related Topix: Groupon, Zynga, Murphy Exploration and Production Company International, Insurance, American International Group, Energy, Oil & Gas, Financial Services, Business News

Reuters

UPDATE 1-Berkshire reveals CB&I stake, adds to Wells Fargo

Warren Buffett's Berkshire Hathaway Inc on Wednesday revealed a new investment in Chicago Bridge & Iron Co and said it has added to its largest equity holding, Wells Fargo & Co.

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Related Topix: Wells Fargo , Banking, Financial Services, Warren Buffett, Construction, Berkshire Hathaway, Investment Services, Chicago Bridge and Iron, Industrial Machines, Metals, US Bancorp

Business Journal

Third Rock-backed bluebird bio files IPO plan

Cambridge-based bluebird bio, a developer of gene therapies for severe genetic disorders, on Tuesday filed plans for an initial public offering of stock which aims to raise $86.2 million.

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

JD Supra

Data Breach - Your Organization Needs a Plan

The Privacy Rights Clearinghouse's Chronology of Data Breaches lists 3,671 incidents affecting 607,295,463 records since 2005,1 including these three: - A worker steals customer records containing credit card, bank account and other personal information.

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Related Topix: Financial Services, Social Security, Personal Finance

JD Supra

Unprecedented FCPA Wake-Up Call for U.S. Broker-Dealers and Foreign...

On May 7, 2013, the U.S. Attorney's Office for the Southern District of New York unsealed extraordinary criminal charges against two registered representatives of a U.S. broker-dealer and a high-level Venezuelan government official for engaging in a "Massive International Bribery Scheme." What makes this fraud scheme remarkable is that it involves ... (more)

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

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