Securities and Exchange Commission News
News on Securities and Exchange Commission continually updated from thousands of sources around the net.
2 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.
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2 hrs 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.
3 hrs ago | The Orlando Sentinel
A Red Lobster spin-off company would assume significant debt as part of the deal, according to documents filed with federal regulators.
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.
6 hrs ago | Reuters
U.S. securities regulators on Tuesday filed civil charges against a corporate audit committee chairman for his role in covering up what they say was a massive accounting fraud at a now-bankrupt animal feed company, in a rare charge against an audit director.
9 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.
13 hrs ago | Prince George Citizen
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.
14 hrs ago | AmericanBankingNews.com
Magnetek will post its quarterly earnings results on Wednesday, March 12th. Individual interested in participating in the company's earnings conference call can do so using this link .
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.
E.W. Scripps major shareholder Edward W. Scripps sold 9,389 shares of the company's stock on the open market in a transaction that occurred on Thursday, March 6th.
The company expects to issue approximately $1.15 billion in K Certificates , which are expected to price the week of March 10, 2014, and settle on or about March 25, 2014.
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As the U.S. Securities and Exchange Commission seeks to become a more formidable force in the courtroom, a string of trial defeats in the past six months has exposed a weak spot: witness testimony.
The legislature is considering a bill that would create a state stock exchange to help Michigan businesses grow.
Hedge fund manager William Ackman, who is betting $1.16 billion that Herbalife is a fraud, spent $264,000 last year on lobbyists to press his case against the company, according to government documents filed in recent weeks.
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.
Work on the Chateau is continuing just over the Nevada border from Stateline. A sign on the fence said they would start renting in summer.