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Corporate / Securities Law News

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

3 hrs ago | News Max

John Berlau: Bank of America Deal Punishes Investors

"Bank of America failed to make accurate and complete disclosure to investors and its illegal conduct kept investors in the dark," declared a government official in a Department of Justice press release announcing last week's record settlement in which Bank of America agreed to fork over $16.65 billion to settle charges it and companies it had ... (more)

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Related Topix: US News, Home, Mortgage, Personal Finance, Securities and Exchange Commission, Law

Fri Aug 29, 2014

West Australian

Exclusive - US options exchanges craft rules to fend off turmoil

Under the proposed rules, unintended trades placed by professional traders will usually have their prices adjusted to levels as close to their fair market value as possible, while wrong trades by retail customers will be mainly be undone, five sources with knowledge of the matter told Reuters.

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Related Topix: Securities and Exchange Commission, Law

AmericanBankingNews.com

Parametric Sound Corp major shareholder Unloads $1,272,456 in Stock

Parametric Sound Corp major shareholder Carmine J. Bonanno sold 185,760 shares of the company's stock in a transaction dated Thursday, August 28th.

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Related Topix: Securities and Exchange Commission, Law

AmericanBankingNews.com

IGI Laboratories major shareholder Sells $18,600,000 in Stock

IGI Laboratories major shareholder Sciences Opportunities Fu Life sold 3,000,000 shares of the stock on the open market in a transaction that occurred on Wednesday, August 27th.

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Related Topix: Securities and Exchange Commission, Law

SFGate

Should companies have to pay taxes?

Reading companies' annual reports to the Securities and Exchange Commission is a reliable cure for insomnia.

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Related Topix: Securities and Exchange Commission, Law, Opinion

American Banker

Activist Stilwell Refuses Court Appearance Tied to SEC Probe

A judge had ordered Joseph Stilwell to appear in court and respond to a subpoena from the Securities and Exchange Commission tied to a securities fraud investigation.

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Related Topix: Securities and Exchange Commission, Law

Business Journal

Houston Medical center operator eyes U.S. stock exchange

Houston-based Northstar Healthcare Inc. aims to list itself on a United States stock exchange in addition to its current listing on the Toronto Stock Exchange, according to a filing with the Securities and Exchange Commission .

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Related Topix: Securities and Exchange Commission, Law

Thu Aug 28, 2014

Wall Street and Tech

Hedge Funds Raise the Urgency Level on Cyber Security

Hedge funds are bracing for SEC exams on cyber security preparedness in 2014, but do they need a chief information security officer? Hedge funds are paying more attention to cyber security as a result of recent guidance from the Securities and Exchange Commission.

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Related Topix: Securities and Exchange Commission, Law

CFO

SEC Spells Out How Rating Agencies Must Reveal Conflicts of Interest

New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.

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Related Topix: Securities and Exchange Commission, Law

JD Supra

Sec Adopts Regulation Ab II

This morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules implementing a series of changes to the registration and offering process for asset-backed securities and expanded disclosure and reporting under the SEC's Regulation AB.

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Related Topix: Securities and Exchange Commission, Law, Home, Mortgage, Personal Finance

BroadwayWorld.com

DreamWorks Animation Stockholders Encouraged to Contact Securities Law Firm about Investigation

Securities lawyers at Dunnam & Dunnam announce an investigation of the board of Dreamworks Animation .

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Related Topix: Law

Freshnews

CHGT Initiates Development of Retail 3D Printing Portal

As 6th Dimension Technologies, a subsidiary of Changing Technologies, Inc. , continues to explore new opportunities to expand its footprint in the booming 3D printing space, the Company is investigating a partnership with an interactive software company to carry out the development of the Company's online portal project.

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Business News

SEC's plan to brake the 'Flash Boys' draws critics

A test program to change the way small-company stocks are traded could slow high-frequency action, though some market participants worry that the initial steps are too tepid.

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Related Topix: Securities and Exchange Commission, Law

Wed Aug 27, 2014

AmericanBankingNews.com

Insider Selling: 5Am Partners Ii, Llc Sells 433,000 Shares of Relypsa Stock

Relypsa major shareholder 5Am Partners Ii, Llc sold 433,000 shares of the stock on the open market in a transaction dated Tuesday, August 26th.

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Related Topix: Securities and Exchange Commission, Law

Denver Post

Solera Bank mortgage lending division quit in aftermath of proxy fight

In the aftermath of a testy proxy battle this summer for control at Solera National Bancorp - one that included the resignation of its board of directors and the subsequent firing of its CEO - the entire mortgage-lending division quit, according to a federal filing.

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Related Topix: Home, Mortgage, Personal Finance, Securities and Exchange Commission, US Securities and Exchange Commission, Law, Financial Services

JD Supra

SEC Issues Valuation Guidance for Funds Holding Certain Short-Term Debt Securities

The Securities and Exchange Commission recently provided some expanded valuation guidance to mutual funds in its release on Money Market Fund Reform dated July 23, 2014.

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Related Topix: Securities and Exchange Commission, Law, Mutual Funds, Personal Finance

JD Supra

SEC Charges Colorado Woman and Her Two Companies with Offering Fraud

On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic Systems, LLC and Gamer Media Partners Corp. The SEC alleged that between August 2011 and August 2012, Gamer fraudulently sold $771,900 of securities to over three dozen investors.

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Related Topix: Securities and Exchange Commission, Law

Greenwich Citizen

SEC adopts rules on loan-backed securities

Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers' credit record and income under action taken Wednesday by federal regulators.

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Related Topix: Securities and Exchange Commission, Law, Home, Mortgage, Personal Finance

AmericanBankingNews.com

usell.com Director Peter Benz Buys 5,000 Shares

The shares were purchased at an average cost of $2.97 per share, for a total transaction of $14,850.00.

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Related Topix: Securities and Exchange Commission, Law

JD Supra

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission's Division of Market Oversight issued No-Action Letter No.

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Related Topix: Law

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