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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.

2 hrs ago | Pacific Business Times

New Yorker faces SEC charges over Clean Diesel trades

A New York investor relations executive has been charged with insider trading for using knowledge gained preparing press releases for Oxnard-based Clean Diesel Technologies for personal profit.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, New York, New York Government, Clean Diesel Technologies, Chemicals, Financial Services

7 hrs ago | JD Supra

The Clock is Ticking on the SEC's MCDC Initiative - Limited...

The U.S. Securities and Exchange Commission has announced its Municipalities Continuing Disclosure Cooperation Initiative for municipal issuers, conduit borrowers, other obligated persons , and underwriters of municipal securities that have been sold to the public within the last five years.

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

11 hrs ago | Business Journal

EZCorp pays hefty consulting fees to firm owned by sole stockholder

EZCorp Inc. has paid millions of dollars in consulting fees to a firm owned by EZCorp's sole Class B shareholder, Phillip Cohen, who shook up the company's management last week, regulatory documents show.

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Related Topix: Retail, EZCORP, Financial Services

11 hrs ago | Business Journal

EZCorp pays hefty consulting fees to firm owned by sole stockholder

EZCorp Inc. has paid millions of dollars in consulting fees to a firm owned by EZCorp's sole Class B shareholder, Phillip Cohen, who shook up the company's management last week, regulatory documents show.

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Related Topix: Retail, EZCORP, Financial Services

13 hrs ago | Business Journal

Trustco Bank sells East Greenbush land to hotel developer

Trustco Bank sold a large swath of land in East Greenbush, New York to a hotel developer that plans to build a 101-room Hampton Inn & Suites on a small portion of the property.

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Related Topix: East Greenbush, NY, Financial Services

17 hrs ago | Business Journal

PayRange still mum on $2M round, but adds ex-Google exec to board

Paresh Patel, CEO of PayRange, holds the BluKey device that his company developed.

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Related Topix: Financial Services

Mon Jul 21, 2014

ABS-CBN News

How to avoid being duped by 'pump and dump' schemes

MANILA, Philippines Fraudsters involved in "pump and dump" schemes are now using social media and chat rooms to hype up stocks, warns financial adviser Salve Duplito.

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Related Topix: Philippines, World News, Financial Services

Reuters

U.S. SEC taps new chief economist from University of Florida

The U.S. Securities and Exchange Commission on Monday announced it has tapped a University of Florida professor to serve as the agency's new chief economist.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, University of Florida, Financial Services, North Carolina, University of North Carolina Chapel Hill, University of Pennsylvania

Business Journal

Four years after passage, Dodd-Frank viewed as 'regulatory burden,' 'government overreach'

Four years after passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act, industry experts and regulators say the landmark legislation's long-term implications are worrisome, albeit still unclear.

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Related Topix: Financial Services, US Politics, US News, Sherrod Brown, US Senate, Democrat, US House of Representatives

Business Times

Finance professionals dislike dark pools

The US Securities and Exchange Commission , Commodity Futures Trading Commission, Federal Bureau of Investigation and New York attorney general are investigating the industry.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, US News, US Federal Bureau of Investigation, Books, Flash Boys

Sys-Con Media

Pretivm to File Preliminary Prospectus Supplement

The Supplement will be filed with the securities regulatory authorities in each of the provinces and territories of Canada except Quebec.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Silver Standard Resources, Mining, Canada,

West Australian

BNP case spurs calls for whistleblower incentives in banking

The U.S. Securities and Exchange Commission has scored big enforcement successes and delivered millions of dollars in awards to whistleblowers under a programme from the 2010 Dodd-Frank overhaul of Wall Street.

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

Benzinga

Valeant Complains to SEC Regarding Allergan Claims

Valeant Pharmaceuticals International, Inc. has contacted both the Autorite des marches financiers in Quebec and the U.S. Securities and Exchange Commission regarding Allergan Inc.'s apparent attempt to mislead investors and manipulate the market for Valeant common shares by continuing to make false and misleading statements regarding Valeant's ... (more)

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Related Topix: Allergan, Biotech, Securities and Exchange Commission, Corporate / Securities Law, Law, Valeant Pharmaceuticals International, Financial Services

Sat Jul 19, 2014

SiliconValley.com

Despite law, companies don't disclose CEO-to-worker pay ration

Four years after a federal law required public companies to disclose the pay gap between their CEOs and other workers, government regulators are still mulling how to put the measure into effect, with proponents saying it's crucial to help halt excessive compensation and critics calling it costly and ill-conceived.

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Related Topix: Barbara Boxer, US Politics, US News, US Senate, Democrat, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Startups, Pillar Data Systems, Hyperion Solutions, Oracle Corporation

Zmetro.com

British Government Picks Illumina to Sequence 100,000 Genomes

The British government says that it plans to hire the U.S. gene-sequencing company Illumina to sequence 100,000 human genomes in what is the largest national project to decode the DNA of a populace.

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

Bloomberg

R.J. Reynolds Descendant Bets on Bankrupt Crumbs Cupcake Chain

A great-grandson of R.J. Reynolds Tobacco Co.' s founder bought a stake in Crumbs Bake Shop Inc. , betting that he and other shareholders will receive a piece of the cupcake chain once it emerges from bankruptcy.

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Related Topix: Economics News, Bankruptcy, Tobacco, RJ Reynolds Tobacco Holdings, Winston-Salem, NC, Salem, NC, Financial Services

Reuters

COMPLY-How an adviser's 'bulletproof' marketing strategy backfired

Self-promotion through efforts such as writing "how-to-invest" books and hosting radio shows can help financial advisers drum up business - unless the wrong people notice.

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Related Topix: Marketing, Financial Services, Personal Finance, Retirement, Mutual Funds

Petroleum News

Miller's 'banner' year

Miller Energy Resources Inc. is notching rapid growth, based largely on what it touts as a string of drilling successes in Alaska.

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

Fri Jul 18, 2014

Customer Interaction Solutions

Global-Tech Advanced Innovations' Annual Report on Form 20-F for...

Global-Tech Advanced Innovations Inc. today announced that the Company's annual report on Form 20-F for the fiscal year ended March 31, 2014 has been filed with the U.S. Securities and Exchange Commission and is available on its website .

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

Business Wire

View Press Release

On January 6, 2014, Key Energy Services announced that one of its largest customers, Mexico State-owned oil giant Petroleos Mexicanos or "PEMEX", is conducting an audit of Key Energy Services' aggregate billings of $372 million under its contracts with PEMEX.

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Related Topix: Key Energy Services, Energy, Oil & Gas, Summit Energy Services, Financial Services

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