US Securities and Exchange Commission News

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.

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

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.

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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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 .

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.

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

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.

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

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 .

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.

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.

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.

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.

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

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.

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.

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.

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)