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Securities and Exchange Commission News

News on Securities and Exchange Commission continually updated from thousands of sources around the net.

3 hrs ago | MarketWatch

Chuck Jaffe: Is your 'alternative' fund a ticking time bomb?

The label "alternative" seems to cover countless strategies and, technically, can be applied to anything that falls outside of the mainstream investment categories of stocks, bonds and cash.

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Related Topix: Financial Markets, Corporate / Securities Law, Law, Mutual Funds, Personal Finance

7 hrs ago | Examiner.com

SEC comes down on Breached Companies

If you're wondering if businesses, who've been targets of cybercrime, have been properly handling the fallout, you have company: The U.S. Securities and Exchange Commission .

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

Sun Aug 31, 2014

The Peninsula

Alibaba share sale by this month

HONG KONG: Chinese e-commerce company Alibaba Group Holding Ltd is planning to launch its New York stock market debut in the week of September 8, a person briefed on the matter said on Saturday.

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

Sat Aug 30, 2014

Business Journal

Inside Roche's $8.3 billion bid for InterMune

Yet Brisbane-based InterMune still was able to get more than Roche's original bid, according to a Securities and Exchange Commission document filed Friday.

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Related Topix: Biotech, InterMune, Medicine, Healthcare Industry, Corporate / Securities Law, Law, Genentech, Startups, Healthcare Law

Politico

Fore! Feds hunt fraud at the golf course

This summer the Securities and Exchange Commission has brought insider trading cases that center on the relationships between golfing buddies and how their chitchat in the tee box or at the 19th hole turned into lucrative and illegal trading bonanzas.

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Related Topix: Corporate / Securities Law, Law, American Superconductor, Manufacturing, Electronics, KPMG L.L.P, Financial Services, Accounting, Criminal Defense 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: Corporate / Securities Law, Law

AmericanBankingNews.com

Masonite International Corp major shareholder Oaktree Capital Group...

Masonite International Corp major shareholder Oaktree Capital Group Holdings unloaded 504,778 shares of Masonite International Corp stock on the open market in a transaction that occurred on Wednesday, August 27th.

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Related Topix: Construction, Masonite International, Corporate / Securities Law, Law

VentureBeat

Floodgate closes its fifth fund with more of the same

That's exactly what seed-stage venture firm Floodgate is thinking as it closes its fifth and new fund.

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

The Washington Post

Alibaba Said to Push Back Start of IPO Investor Meetings

Alibaba Group Holding Ltd. is postponing the start of investor meetings for its initial public offering by about a week to answer questions posed by the U.S. Securities and Exchange Commission, according to a person with knowledge of the matter.

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Related Topix: Alibaba, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, World News, China, Business News

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: Corporate / Securities Law, Law

Fri Aug 29, 2014

Forbes.com

SEC Sanctions Donald Brownstein's Hedge Fund Over Conflicts Of Interest

I spend most of my time digging into Wall Street, hedge funds and private equity firms, looking for both the good and the bad.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Business News

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: Corporate / Securities Law, Law

JD Supra

Washington Court of Appeals Expands 'Jeopardy' Element of Claim for...

This month the Washington State Court of Appeals, Division III issued a ruling in Becker v.

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Related Topix: Medicine, Community Health Care, Hospital Administration, Healthcare Industry, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services

Truthdig

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: Corporate / Securities Law, Law, US News, Liberal Political News

JD Supra

Federal Appeals Court Says Dodd-Frank Does Not Protect Overseas Whistleblowers

The U.S. Court of Appeals for the Second Circuit has ruled that the Dodd-Frank Act does not protect whistleblowers outside the United States.

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Related Topix: Second Circuit Court of Appeals, US News, Siemens AG, Corporate / Securities Law, Law

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: Corporate / Securities Law

AmericanBankingNews.com

Insider Buying: Growblox Sciences major shareholder Acquires 46,625 Shares of Stock

Growblox Sciences major shareholder Israel Opportunities F. Lazarus acquired 46,625 shares of the company's stock on the open market in a transaction that occurred on Wednesday, August 27th.

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Related Topix: Corporate / Securities Law, Law

Business Wire

Press release distribution, EDGAR filing, XBRL, regulatory filings

A detailed list of rating ... )--Associa, the nation's largest community association management firm, opens its doors at the Client Shared Services Center to feature special guest, Congressman S... )--The APWG reports in its new Phishing Activity Trends Report that new online payment services and crypto-currency sites are being targeted by ... (more)

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Related Topix: Semiconductors, Microchip Technology, Electronics, Corporate / Securities Law, Law, Home, Mortgage, Personal Finance

Thu Aug 28, 2014

Dallas Morning News

Two former ACS execs to pay nearly $675,000 settlement in SEC accounting probe

Two senior executives of a Dallas-based information technology company that's now part of Xerox Corp. have agreed to pay nearly $675,000 to settle allegations that they mischaracterized transactions to inflate the company's revenue and mislead investors, the Securities and Exchange Commission said Thursday.

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Related Topix: Corporate / Securities Law, Law, Xerox, ACS - Affiliated Computer Services, Inc.

Wall Street and Tech

Hedge Funds Raise the Urgency Level on Cyber Security

Hedge funds are bracing for SEC exams on cyber security preparedness in 2014, but do they need a chief information security officer? Hedge funds are paying more attention to cyber security as a result of recent guidance from the Securities and Exchange Commission.

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Related Topix: Corporate / Securities Law, Law

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