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Corporate / Securities Law News

News on Corporate / Securities Law continually updated from thousands of sources around the net.

40 min ago | Hispanic Business

Self-Regulatory Organizations; Miami International Securities...

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a... ; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Options on Shares of the iShare ETFs Citation: "79 FR 49140" Document Number: "Release No.

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Related Topix: Law

INCROYABLE - Relais France 4x400m Femme - Championnats d'Europe 2014 - INCREDIBLE F...

Should the U.S. Capitol Have a POW/MIA Memorial?

This Woman Looks Like She's Wearing Makeup. She's Not.

Watch A Tortoise Chase Down A Remote-Controlled Truck With ALL ITS MIGHT

4 hrs ago | Wall Street Journal

Groundfloor Raises $1M, Moves to Georgia to Crowdfund Real Estate

Groundfloor Inc. , one of several startups that crowdfunds investments in real estate, raised $1 million in seed funding and moved its headquarters to Atlanta in search of less-restrictive crowdfunding rules.

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Related Topix: Securities and Exchange Commission, Law

5 hrs ago | AmericanBankingNews.com

Insider Selling: Village Super Market major shareholder Sells 6,889 Shares of Stock

Village Super Market major shareholder Of Perry Sumas Estate sold 6,889 shares of Village Super Market stock in a transaction that occurred on Tuesday, August 19th.

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Related Topix: Securities and Exchange Commission, Law

6 hrs ago | JD Supra

SEC's Office of Investor Education and Advocacy Releases Alert...

On August 4, the Securities and Exchange Commission's Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements.

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Related Topix: Securities and Exchange Commission, Law

10 hrs ago | Sys-Con Media

Gold Standard Closes US$6.3 Million Public Offering

The Offering was undertaken by a syndicate of underwriters led by Macquarie Capital Markets Canada Ltd. and including Loewen, Ondaatje, McCutcheon USA Limited, Tempest Capital Corp. and H.C. Wainwright & Co.

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Related Topix: Canada, Securities and Exchange Commission, Law

15 hrs ago | Business Journal

SEC charges Colorado woman with offering fraud in Atlanta

The Securities and Exchange Commission has charged Heidi Ann Gamer with running a $771,900 offering fraud using two companies, including one in Atlanta.

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Related Topix: Securities and Exchange Commission, Law

17 hrs ago | WTEN-TV Albany

Golf partners charged with insider trading

Federal securities regulators have charged a former Eastern Bank executive with insider trading for allegedly telling a golfing partner about an impending acquisition.

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Related Topix: Securities and Exchange Commission, Law, Financial Services, Wainwright Bank and Trust, Banking

17 hrs ago | Business Times

Venture firm tries telling others how to invest in private companies

Disruption Corp, which runs the Crystal Tech Fund in Crystal City, Virginia, said on Tuesday that regulators had licensed it to provide investment guidance.

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Related Topix: Law

21 hrs ago | Hispanic Business

Cabelas Inc Files (8-K) Disclosing Amendments to Articles of Inc. or...

CABELAS INC FILES Disclosing Amendments to Articles of Inc. or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15 of The Securities Exchange Act of 1934 Date of Report : Registrant's telephone number, including ... (more)

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Related Topix: Law

Mon Aug 18, 2014

Hispanic Business

Mineralrite Corp Files (8-K) Disclosing Unregistered Sale of Equity Securities

The Company claims an exemption from the registration requirements of the Securities Act of 1933, as amended for the private placement of these securities pursuant to Section 3 and 4 of the Act and/or Rule 506 of Regulation D promulgated thereunder since, among other things, the transaction does not involve a public offering, the Investor is an ... (more)

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Related Topix: Law

Sys-Con Media

Pleasant Kids 'Where Healthy Begins' Announces Our Corporate...

The move is fueled by Pleasant Kids need for additional space. The new facility will accommodate our growth, sales, contracts, administration and animation team.

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Related Topix: Kids, Family, Law

AmericanBankingNews.com

Genocea Biosciences major shareholder Sells $125,677 in Stock

Genocea Biosciences major shareholder Polaris Venture Management Co. sold 9,660 shares of Genocea Biosciences stock in a transaction dated Thursday, August 14th.

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Related Topix: Securities and Exchange Commission, Law

The Orlando Sentinel

St. Cloud medical patients' information among millions stolen in cyber attack

St. Cloud Regional Medical Center is among the hospitals owned by a company whose computer systems were breached this year, resulting in the theft of the personal information of about 4.5 million people, authorities said Monday.

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Related Topix: Computer Security, Science / Technology, Securities and Exchange Commission, US Securities and Exchange Commission, Law, Financial Services

JD Supra

Foreign Corrupt Practices Act - 2014 Mid-Year Update

The first half of 2014 has seen several important developments in the enforcement of the Foreign Corrupt Practices Act as well as other anti-corruption laws worldwide.

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Related Topix: Securities and Exchange Commission, Law, US News

Reuters

UPDATE 1-Wall St regulator FINRA charges Wedbush with market access violations

Wall Street's self-funded regulator on Monday charged brokerage firm Wedbush Securities with having shoddy risk controls, a flaw that in turn allowed thousands of traders to flood U.S. markets and execute manipulative trades.

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

Triple Pundit

EPA Launches Criminal Investigation Against Tyson Foods

Poultry producer Tyson Foods has announced that the Environmental Protection Agency is launching a criminal investigation into last May's wastewater discharge at Tyson's Monett, Missouri plant.

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Related Topix: U.S. Environmental Protection Agency, Monett, MO, Securities and Exchange Commission, Law

The Nation

Deputy junta chief briefed on infrastructure funds

National Council for Peace and Order deputy chief ACM Prajin Juntong was recently briefed on the benefits of infrastructure funds, touted as a fund-raising means to finance Thailand's massive infrastructure investment scheme.

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Related Topix: Securities and Exchange Commission, Law

Sun Aug 17, 2014

Bradenton.com

JOBS Act rewards exchanges with IPOs

A 2-year-old U.S. law designed to make it easier for small companies has turned into a boon for the country's stock markets.

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Related Topix: Penn State University Park, Securities and Exchange Commission, Law, California

AmericanBankingNews.com

Insider Buying: Mallinckrodt PLC major shareholder Purchases 132,100 Shares of Stock

Mallinckrodt PLC major shareholder Paulson & Co Inc acquired 132,100 shares of the company's stock on the open market in a transaction that occurred on Wednesday, August 13th.

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Related Topix: Securities and Exchange Commission, Law

AmericanBankingNews.com

Insider Selling: Parametric Sound Corp major shareholder Sells 2,905 Shares of Stock

Parametric Sound Corp major shareholder Frederick J. Romano sold 2,905 shares of Parametric Sound Corp stock on the open market in a transaction that occurred on Friday, August 15th.

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Related Topix: Securities and Exchange Commission, Law

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