Corporate / Securities Law News
News on Corporate / Securities Law continually updated from thousands of sources around the net.
1 hr ago | InvestmentNews
An indication by the Securities and Exchange Commission that it has failed to collect much data to gauge the potential impact of a rule to raise investment advice standards has fiduciary-duty advocates scratching their heads.
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2 hrs ago | InvestmentNews
A proposal advanced Monday by Wall Street's industry-funded regulator that would require greater compensation disclosure has exposed a chasm in the advisory industry, pitting smaller broker-dealers against large wirehouses and independent advisers.
3 hrs ago | CBC News
The Ontario Securities Commission has decided to let some individuals and companies settle misconduct disputes with the regulator without formally having to admit to any wrongdoing.
5 hrs ago | The Tennessean
A Hendersonville-based animal feed company and its top executives have been charged with accounting fraud by the Securities and Exchange Commission.
8 hrs ago | Mississippi Business Journal
U.S. Sen. Thad Cochran has asked the acting chair of the agency that denied compensation to Stanford ponzi scheme victims to explain those actions.
12 hrs ago | Northern Michigan News
A U.S. investment firm has bought nearly a quarter of all the shares available to buy in New York-listed English soccer club Manchester United PLC.
13 hrs ago | Hispanic Business
Morris and Loglisci orchestrated a scheme to extract sham finder fees and other payments and benefits from investment management firms seeking to do business with the .
If approved, rule would require brokers who receive more than $100,000 in incentive compensation to notify clients in writing; could chill recruitment Finra moved one step closer to finalizing a rule that would require brokers to tell clients how much they are paid to switch firms.
JA Energy announces it has filed a patent to protect its Micro-Grid technology. The Company's Modular Distillation Unit and Modular Electricity Generator combined can take simple sugars and convert them into electricity.
Cliffs Natural Resources Inc. of Cleveland has postponed the record date for its annual meeting of shareholders to an as-yet-undetermined date, the company said in a news release filed March 7 with the Securities and Exchange Commission.
Invivo Therapeutics Holdings Corp major shareholder Francis Reynolds unloaded 25,000 shares of Invivo Therapeutics Holdings Corp stock on the open market in a transaction dated Friday, March 7th.
Icahn, who owns 2% of eBay's stock, claimed in a blog post that eBay Chief Executive John Donahoe has cost company shareholders more than $4 billion.
Most public companies dread a proxy fight -- a tool that activist shareholders can use to change the course of corporate management, oust company leaders and even force the sale of a company.
Forward Looking Statements This Annual Report on Form 10-K contains forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, relating to our financial condition, profitability, liquidity, resources, business outlook, market forces, corporate strategies, contractual commitments, legal matters, ... (more)
Glossy annual reports are being supplanted by the Form 10-K, the annual filing required by the Securities and Exchange Commission.
Watch out for investment expenses. They will cut down your return, shrink your nest egg and may well prevent you from achieving your financial goals.
First Federal, the only locally owned community bank on the North Olympic Peninsula, is moving ahead with new steps to go public and sell millions of shares of stock.