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Corporate / Securities Law News

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

44 min ago | Business News

SEC investigated its own 'London Whale' leak

The SEC conducted a dragnet to determine who in the agency allegedly leaked information about a JP Morgan " London Whale " settlement, CNBC has learned.

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Related Topix: Securities and Exchange Commission, Law

5 hrs ago | Politico

Massad: Tight budget restrains CFTC

Commodity Futures Trading Commission Chairman Tim Massad on Thursday said the agency can't do "a lot of things" because Congress has not given the regulator the budget increases it has requested to handle the new responsibilities it was given to police financial markets following the 2008 financial crisis..

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Related Topix: Law, US News

9 hrs ago | CFO

SEC Charges Former CFO with Hiding Internal Control Failures

A Florida firm's CFO and CEO knowingly hid information about inadequate inventory controls and engaged in improper accounting maneuvers, the SEC alleges.

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Related Topix: Securities and Exchange Commission, Law, Corporate Governance

13 hrs ago | Hispanic Business

Cme Group Inc. Files (8-K) Disclosing Results of Operations and...

Item 2.02. Results of Operations and Financial Condition. The information set forth under "Item 2.02.

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Related Topix: Law

17 hrs ago | Business Journal

Anchor Hocking parent reaches deal with lenders to take $20M investment

EveryWare Global Inc. has amended its forbearance agreement with lenders that will allow the company to receive a $20 million investment to keep it afloat.

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Related Topix: Securities and Exchange Commission, Law

21 hrs ago | AmericanBankingNews.com

Insider Buying: Townsquare Media major shareholder Buys 50,737 Shares of Stock

Townsquare Media major shareholder Steven Price acquired 50,737 shares of Townsquare Media stock in a transaction that occurred on Friday, July 25th.

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Related Topix: Securities and Exchange Commission, Law

Wed Jul 30, 2014

Business Journal

Citizens CEO could net more than $12M from company sale

Bruce Van Saun, chairman and CEO, Citizens Financial Group, could be in for quite a windfall if the company is sold.

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Related Topix: Securities and Exchange Commission, Law

Digital Post Production

Communications & Power Industries Awarded $6 Million To Support Apache Helicopter

These Ku-band tactical common data links are being installed on the AH-64E Guardian variant of the Apache helicopter to support U.S. warfighters.

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Related Topix: US Military, US Army, Law

Business Journal

SEC charges South Florida penny stock CEO, former CFO with false financial reporting

The Securities and Exchange Commission filed a civil action against the CEO and former CFO of a West Palm Beach-based company alleging that they submitted false financial reports.

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Related Topix: Securities and Exchange Commission, Law, Corporate Governance, QSGI, West Palm Beach, FL

AmericanBankingNews.com

AutoNation Receives Consensus Rating of "Hold" from Brokerages

AutoNation has earned an average rating of "Hold" from the eight analysts that are currently covering the stock, American Banking News reports .

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Related Topix: Securities and Exchange Commission, Law

JD Supra

Amending Your Bylaws to Mitigate the Cost of Shareholder Litigation:...

Shareholder litigation is on the rise, increasing the cost of doing business; and companies often face litigation on multiple fronts, further increasing litigation exposure.

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Related Topix: Law

Reuters

Exclusive: Upstart trading venue IEX may prompt U.S. market rule change

U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group's plans to become a full-fledged stock exchange.

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Related Topix: Books, Flash Boys, Securities and Exchange Commission, Law

Tue Jul 29, 2014

Sys-Con Media

Compressco Partners, L.P. Prices Private Offering Of $350 Million Of Senior Notes Due 2022

Compressco expects the offering of the notes to close on pursuant to Rule 144A under the Securities Act of 1933, as amended , and to persons, other than U.S. persons, outside pursuant to Regulation S under the Securities Act.

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Related Topix: Law

JD Supra

SEC Requires Floating NAV for Institutional Money Market Funds; IRS...

A divided Securities and Exchange Commission recently adopted rules that will require floating net asset values for institutional money market funds and give most money market funds the discretion to impose liquidity fees and gates.

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Related Topix: Tax, Securities and Exchange Commission, Law

Fox News

"Serial Con Man" Busted in Solar Energy Farm Scam

The Securities and Exchange Commission charged a jailed con man for the second time this month with luring investors into a phony venture using made-up press releases -- this time for a non-existent solar energy company.

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Related Topix: Securities and Exchange Commission, Law, Solar Energy, Alternative Energy, Renewable Energy (Green Energy), Energy, Federal Prisons, Prison, Business News

NWCN.com

JPMorgan paying $650K to settle CFTC charges

JPMorgan Chase will pay $650,000 to settle charges from federal regulators of filing inaccurate reports on the trading positions of some of its large customers.

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Related Topix: Law

GhanaWeb

Gov't asked to look within for capital

The Chairman of the Securities and Exchange Commission , Professor E.V.O. Dankwah, has encouraged the government to look within to raise capital for development.

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Related Topix: Securities and Exchange Commission, Law

Reuters

U.S. regulators looking into UBS, Deutsche Bank speed trading operations

Germany's Deutsche Bank and Switzerland's UBS said they were caught up in an inquiry by U.S. regulators, who are looking into whether broker-run stock exchanges gave an unfair advantage to high-frequency traders.

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Related Topix: Securities and Exchange Commission, Law

Deseret News

New rules adopted for institutional money market funds

New rules adopted by the Securities and Exchange Commission are intended to address risks of liquidity runs on institutional money market funds by fund participants.

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Related Topix: Securities and Exchange Commission, Law

Mon Jul 28, 2014

AmericanBankingNews.com

Insider Buying: Keith D. Osborn Buys 1,600 Shares of Vystar Corp Stock

Vystar Corp major shareholder Keith D. Osborn bought 1,600 shares of the company's stock on the open market in a transaction dated Thursday, July 24th.

Comment?

Related Topix: Securities and Exchange Commission, Law

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