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Corporate / Securities Law News

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

2 hrs ago | Business Wire

COREwafer Industries Announces OTCBB Uplisting

This milestone comes on the heels of COREwafer Industries, Inc. management making drastic changes and advancements in its business plan, consolidation of its debts and expansion into the Social Media sector.

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Related Topix: Hollywood, FL, Computers, Law

6 hrs ago | Reuters

Former Qualcomm executive pleads guilty to insider trading

A former Qualcomm Inc sales director has pleaded guilty to insider trading in Atheros Communications Inc after learning that his company planned to buy the rival chipmaker in 2011.

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Related Topix: Qualcomm, Atheros Communications, Startups, Atheros Communications, Inc., Securities and Exchange Commission, Law

Fri Aug 22, 2014

JD Supra

Financial Services Bulletin: Action at the SEC

On Wednesday, July 23, 2014, the Securities and Exchange Commission adopted amendments to the rules governing money market mutual funds pursuant to Rule 2a-7 under the Investment Company Act of 1940 .

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

Business Journal

Beneficial Bancorp files plans for $1B public stock offering

According to documents filed with the Securities and Exchange Commission , Philadelphia-based Beneficial plans to sell just under 109 million shares of common stock at $10 per share.

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Related Topix: Securities and Exchange Commission, Law

Theflyonthewall.com

SEC charges AirTouch with fraud in revenue recognition scheme

SEC charges AirTouch with fraud in revenue recognition scheme The Securities and Exchange Commission, or SEC, announced charges against AirTouch, a Newport Beach, California-based telecommunications equipment company and its two former executives accused of improperly recognizing as revenue more than $1M worth of inventory that was shipped to a ... (more)

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Related Topix: Securities and Exchange Commission, Law

JD Supra

Revised Draft Rule G-42: MSRB Continues to Fine-Tune Rules Applicable to Municipal Advisors

On July 23, 2014, the Municipal Securities Rulemaking Board issued Regulatory Notice 2014-12 requesting comments on a revised draft of MSRB Rule G-42 on standards of conduct and duties of municipal advisors when engaging in municipal advisory activities other than the undertaking of solicitations .

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Related Topix: Law

Business Journal

Winn-Dixie parent Bi-Lo cancels plans to go public

Bi-Lo Holdings LLC has withdrawn its 2013 filings to take the grocer public. The registration withdrawal filed Tuesday with the Securities and Exchange Commission reads: "The Company has determined not to pursue the contemplated public offering at this time."

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Related Topix: Securities and Exchange Commission, Law

Cape Cod Times

Eastern bank ex-exec charged in 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

Thu Aug 21, 2014

Forbes.com

JOBS Act and Crowdfunding: Will They Finally #ReleaseTheRules?

I am the founder and CEO of Traklight, the only self-guided software platform that creates your custom intellectual property strategy.

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Related Topix: Small Business, Personal Finance, Securities and Exchange Commission, Law

Reuters

Republican lawmaker slams SEC over unauthorized leaks to media

A Republican lawmaker slammed the Securities and Exchange Commission over leaks of confidential information to media outlets, including Reuters, calling the disclosures "unacceptable."

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Related Topix: Securities and Exchange Commission, Law, US Politics, US News, Republican, US House of Representatives, Jeb Hensarling

Colorado Springs Independent

Former Springs newspaper saleswoman sued by SEC

Heidi Ann Gamer , a 41-year-old who previously sold ads for the Gazette is being sued for three counts of fraud by the Securities and Exchange Commission in Georgia district court for allegedly defrauding investors in around nine states of at least $771,900.

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Related Topix: Securities and Exchange Commission, Law

Wall Street and Tech

SEF Consolidation Likely as Volumes Slowly Increase

It's been a quiet summer for swap trading venues. SEF trading has been mandatory for many over-the-counter derivatives, mainly credit indexes and interest rates, since midFebruary.

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Related Topix: Law

Examiner.com

Bank of America Admits Disclosure Failures to Settle SEC Charges

The Securities and Exchange Commission today announced a settlement in which Bank of America admits that it failed to inform investors during the financial crisis about known uncertainties to future income from its exposure to repurchase claims on mortgage loans.

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

AmericanBankingNews.com

Trio Merger Corp. major shareholder John P. Pecora Acquires 16,934 Shares

Trio Merger Corp. major shareholder John P. Pecora purchased 16,934 shares of Trio Merger Corp. stock in a transaction dated Monday, August 18th.

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Related Topix: Securities and Exchange Commission, Law

TheStreet.com

Galena CEO Fired Following Stock-Promotions Scandal

Your browser is not supported. Please upgrade to one of the following browsers: Google Chrome Mozilla Firefox Apple Safari Microsoft Internet Explorer 8+ You may proceed to the site by clicking here , however some pages might not work correctly.

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Related Topix: Mozilla, Securities and Exchange Commission, Law, TheStreet

Wed Aug 20, 2014

AmericanBankingNews.com

ExOne major shareholder Century Ventures Ltd Novel Sells 149,410 Shares

ExOne major shareholder Century Ventures Ltd Novel sold 149,410 shares of the company's stock in a transaction that occurred on Monday, August 18th.

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Related Topix: Securities and Exchange Commission, Law

MacReport Media RSS Feed

Digital Caddies Files Registration Statement with the Securities Exchange Commission

K: CADY), a leader in the on-course delivery of technology services and content to golfers, is pleased to announce that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission for a proposed direct public offering of its common stock and a proposed offering for resale of existing shares of its common stock held ... (more)

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Related Topix: Law, Securities and Exchange Commission

KRNV-TV Reno

Kentucky business unspooled as feds closed in

Louis Joseph Brothers used sales of military-grade electronics to Hong Kong to boost the revenue for his business, then resigned from the company he founded when federal investigators started questioning the sales and the company fell apart.

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Related Topix: US Politics, US News, US Senate, Republican, Mitch McConnell, Covington, KY, Securities and Exchange Commission, Law

TheStreet.com

Carl Icahn Takes Stake in Hertz Amid Accounting Woes

In a 13D filing with the Securities and Exchange Commission, Icahn said he has accumulated an 8.48% stake in Hertz and intends to engage the company about its accounting issues, operational failures and overall underperformance relative to peers.

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Related Topix: Securities and Exchange Commission, Law

Housing Wire

KBRA: More smoke than fire in Ocwen's restated earnings

Ocwen Financial Corporation generated a few headlines last week, including here on HousingWire , when it announced that it would be restating its 2013 and 2014 earnings after its auditor found a potential "material weakness" in in the way it valued and recorded a financial transaction.

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Related Topix: Financial Services, Ocwen Financial, Securities and Exchange Commission, Law, Accounting, Deloitte and Touche, Home, Mortgage, Personal Finance

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