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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 | 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

7 hrs ago | 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

Mon Apr 21, 2014

Reuters

San Francisco man pleads guilty in Marvel insider trading case

A former associate at a California investment firm pleaded guilty to securities fraud Monday, admitting to illegally making $192,000 trading ahead of news Marvel Entertainment would be bought by Walt Disney Co, where his girlfriend was working.

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Related Topix: Toys, Marvel Enterpries, Marvel Entertainment, Financial Services

ABC News

Caterpillar CEO's Compensation Cut to $12 Million

Caterpillar Inc. cut the value of its CEO's pay package by 32 percent to $12 million in 2013, a year when the heavy machinery maker saw its profits fall by a third, according to an Associated Press analysis.

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Related Topix: Manufacturing, Construction, Insurance, Caterpillar, Financial Services

West Australian

Ackman, Valeant buy stake in Allergan, eye takeover

Activist investor William Ackman and Canadian company Valeant Pharmaceuticals established a joint venture with an eye towards acquiring botox maker Allergan, according to a securities filing Monday.

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Related Topix: Financial Services

Sys-Con Media

Transvaginal Mesh Lawsuit News: FDA Inspection of American Medical...

In a regulatory filing with the U.S. Securities and Exchange Commission , Endo Health Solutions, Inc., the parent of American Medical Systems, disclosed that the SEC filing indicates that American Medical Systems has already submitted a corrective action plan to the FDA, the facility will have to undergo a follow-up inspection at some point in the ... (more)

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Related Topix: Healthcare Law, Law, Food and Drug Administration, Securities and Exchange Commission, Corporate / Securities Law, Financial Services, C R Bard, Medicine, Medical Equipment, Healthcare Industry

Lincoln Daily News

SEC weighs requiring brokers to identify where trades made: Bloomberg

T he U.S. Securities and Exchange Commission is weighing a proposal that would require brokers to tell investors exactly where their stock trades are executed, Bloomberg reported on Saturday.

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

Business Wire

22nd Century Group Files $45 Million Shelf Registration and Provides Business Update

Upon SEC approval, the universal shelf registration will allow, but not compel, 22nd Century Group to raise up to $45 million of capital over a three-year period through a wide array of securities at amounts and at increments to be determined by the Company.

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

Sat Apr 19, 2014

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

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

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

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

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