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Corporate / Securities Law News

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

36 min ago | InvestmentNews

SEC charges investment adviser with fraud for not telling clients of fee arrangement with broker

The Securities and Exchange Commission on Tuesday charged a Houston-based investment adviser with fraud for not disclosing to clients that it was receiving compensation from a broker for investing their money in mutual funds recommended by that broker.

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

36 min ago | Reuters

SEC charges Houston adviser with not disclosing fund payments

A Houston-based investment advisory firm steered clients to certain mutual funds without disclosing that it was receiving payments from the broker who offered those funds, the U.S. Securities and Exchange Commission alleged in a civil fraud complaint on Tuesday.

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

4 hrs ago | CFO

SEC Dishing Out $300,000 Whistleblower Award to Internal Auditor

For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company's internal missteps.

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Related Topix: Securities and Exchange Commission

4 hrs ago | JD Supra

'Structured Finance Alert: Sec Adopts Final Regulation Ab II Rules'

On August 27, 2014, the Securities and Exchange Commission adopted final rules that significantly revise the existing regulations that govern disclosure requirements, offering processes and periodic reporting for asset-backed securities .

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

7 hrs ago | USA Today

Ex-House leader Eric Cantor joins Wall Street firm

The former House majority leader, who was stunningly defeated in a Virginia GOP primary, has joined Moelis & Company as vice chairman and managing director.

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

11 hrs ago | Sys-Con Media

Renren Inc. to Hold Annual General Meeting on September 26, 2014

Instead, the annual general meeting will serve as an open forum for shareholders and beneficial owners of the Company's ADSs to discuss the Company's affairs with management.

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Related Topix: Securities and Exchange Commission, Law

15 hrs ago | GhanaWeb

Meridian Marshall to list on GAX

Barring any last minute hitches, the Ghana Alternative Market will see its first listing by the end of this year.

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Related Topix: Securities and Exchange Commission, Law

Mon Sep 01, 2014

Insurance Journal West

Tower Group Reports SEC Has Launched Probe

Tower Group International Ltd., which is in the process of being acquired by ACP Re Ltd., reported that it had received a letter, dated Aug. 28, 2014, from the Securities and Exchange Commission stating that the SEC is conducting an investigation and attaching a subpoena for various documents.

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Related Topix: Securities and Exchange Commission, Law

Bloomberg

Crude Traders Raise Bets on Price Rise, CFTC Data Show

Hedge-fund managers and other large speculators increased their net-long position in crude-oil futures in the week ended Aug. 26, according to Commodity Futures Trading Commission data.

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Related Topix: Law

Sun Aug 31, 2014

HeraldNet

Corporate tax rate is already low

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

Sat Aug 30, 2014

Hispanic Business

United States : Westmoreland Announces Commencement of Exchange Offer ...

United States : Westmoreland Announces Commencement of Exchange Offer for $425 Million of its 10.75% Senior Secured Notes due 2018 aggregate principal amount of its 10.75% Senior Secured Notes due 2018 that were issued in a private placement on for an equal principal amount of its 10.75% Senior Secured Notes due 2018 that have been registered under ... (more)

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Related Topix: Law

Barron's

It's Wolves Versus Lambs, and the Winner Is....

The Securities and Exchange Commission on Wednesday adopted two related rules aimed at preventing a repeat of the 2008 financial-market collapse, four years after being instructed to do so by Congress within the 849 pages of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

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Related Topix: Securities and Exchange Commission, Law

The Boulder County Business Report

Fort Collins firm partnering on hotel in Cheyenne

An entity called Willco IX Development LLLP, of which Fort Collins-based Spirit is a partner, is raising $8 million, according a recent filing with the Securities and Exchange Commission.

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Related Topix: Fort Collins, CO, Securities and Exchange Commission, Law

Washington Times

Legal center's amici brief challenges N.Y., Tenn. state Republicans in SEC pay-to-play lawsuit

A campaign-finance watchdog group filed a brief in federal court Friday to beat back an attempt by New York and Tennessee Republicans to stymie pay-to-play restrictions.

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Related Topix: Securities and Exchange Commission, Law

JD Supra

Muzzling Whistleblowers: When Confidentiality Agreements Go Too Far

Confidentiality agreements can be useful to a company. For example, they can ensure that employees are aware of their company's valuable trade secrets and can establish requirements to safeguard those assets.

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Related Topix: Law, Employment / Labor Law, Criminal Defense Law

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

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