Corporate / Securities Law News
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2 hrs ago | InvestmentNews
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.
2 hrs ago | Reuters
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.
6 hrs ago | CFO
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.
6 hrs ago | JD Supra
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 .
9 hrs ago | USA Today
The former House majority leader, who was stunningly defeated in a Virginia GOP primary, has joined Moelis & Company as vice chairman and managing director.
13 hrs ago | Sys-Con Media
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.
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.
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)
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.
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.
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.
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.
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.
Parametric Sound Corp major shareholder Carmine J. Bonanno sold 185,760 shares of the company's stock in a transaction dated Thursday, August 28th.
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.
Updated: Tue Sep 02, 2014 02:54 pm
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