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

24 min ago | Sys-Con Media

Rapid Fire Marketing Files 10K with U.S. Securities and Exchange Commission

Our goal was to not just become a fully reporting company and get an OTCQB or BB listing, but to grow the business of the Company and move to a senior exchange."

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

2 hrs ago | NorthJersey.com

Lesniak calls for probe into Christie's use of Port Authority funds for road repairs

A powerful Democratic state senator said Tuesday that Governor Christie "broke the law" by using $1.8 billion of Port Authority money to repair state roads - without first getting legislative approval - and asked two federal regulatory agencies to investigate.

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Related Topix: Chris Christie, US Governors, Corporate / Securities Law, Law, Tax, Financial Markets

6 hrs ago | AmericanBankingNews.com

Insider Selling: & Guill Energy L.P. Edelman Sells 3,850 Shares of Constellation Energy Stock

Constellation Energy major shareholder & Guill Energy L.P. Edelman unloaded 3,850 shares of Constellation Energy stock on the open market in a transaction dated Tuesday, April 15th.

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Related Topix: Energy, Constellation Energy Partners LLC, Corporate / Securities Law, Law

Tue Apr 15, 2014

Reuters

Proliferation of new products also drives U.S. stock market complexity - SEC

A desire by investors for more investment products contributes to excessive complexity in the U.S. stock market, the U.S. securities regulator in charge of analyzing the stock market's structure said on Tuesday.

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Related Topix: Corporate / Securities Law, Law, Explosion

Entrepreneur Magazine

Real Estate Has Benefited Most From SEC's General Solicitation Rule Change

A bit over six months in, the real-estate industry has benefited more than any other industry from a historic law change that fundamentally altered the way companies are allowed to raise money.

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Related Topix: Real Estate, Corporate / Securities Law, Law

InvestmentNews

SEC charges San Diego-based investment adviser with fraud

The Securities and Exchange Commission has charged a San Diego-based investment advisory firm and its executives with breach of fiduciary duty and fraud, claiming the firm received undisclosed kickbacks for recommending investments to clients.

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Related Topix: Corporate / Securities Law, Law

USA Today

Delamaide: SEC catching minnows, not sharks

Your Take contributions have not been reviewed for accuracy by USA TODAY. Contributors agree to our Terms of Service and are responsible for the content of their videos and photos.

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Related Topix: Corporate / Securities Law, Law, Goldman Sachs, Financial Services, Investment Services, Cohen Group, Consulting, Personal Finance, Retirement

Washington Times

Energy Future misses deadline to file SEC report

Energy Future Holdings says it's still not ready to file its already delayed annual report, taking the company one step closer to bankruptcy and potentially jeopardizing environmental reclamation funds owed to Texas.

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Related Topix: Corporate / Securities Law, Law, Economics News, Bankruptcy

LongIsland.com

CEO and Managing Partner of Wall Street Broker-Dealer Charged in Massive International Bribery Scheme

April 14, 2014 - The chief executive officer and a managing partner of a New York-based U.S. broker-dealer were arrested today on felony charges arising from a conspiracy to pay bribes to a senior official in Venezuela's state economic development bank.

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Related Topix: New York, US News, US Federal Bureau of Investigation, Corporate / Securities Law, Law

Resource Investing News

Many Companies Unlikely to Meet SEC Conflict Minerals Deadline: PwC

Just weeks remain before companies registered with the US Securities and Exchange Commission must disclose whether they are receiving tantalum, tungsten , tin and gold from the Democratic Republic of the Congo , and, if so, whether they are getting those minerals from conflict-free sources.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, World News, Congo, Africa

Philly.com

Comcast chief's salary up 8 percent

Comcast Corp. boosted the compensation for top executive Brian L. Roberts 8 percent in 2013, to $31.4 million, the company said in a regulatory filing with the Securities and Exchange Commission.

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Related Topix: Cable & Satellite, Comcast, Corporate / Securities Law, Law

InvestmentNews

When a regulator like Rick Fleming sounds more like a politician, it could be a good thing

When the new Securities and Exchange Commission 's investor advocate introduced himself publicly last week, he sounded more like a politician than a regulator.

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Related Topix: Corporate / Securities Law, Law, Kids, Family

Information Technology

Healthways Files Preliminary Proxy Statement

Healthways , the largest independent global provider of well-being improvement solutions, today announced that it has filed with the Securities and Exchange Commission its preliminary proxy statement in connection with the Company's June 24, 2014, Annual Meeting of Stockholders.

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Related Topix: Healthways, Healthcare Industry, Corporate / Securities Law, Law, Carl Ballantine, Corporate Governance

Mon Apr 14, 2014

InvestmentNews

Finra sends expungement rule to SEC

Investor complaint settlements could not be conditioned on clearing a broker's record of wrongdoing under a Finra rule sent to the Securities and Exchange Commission late Monday.

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Related Topix: Corporate / Securities Law, Law

AmericanBankingNews.com

Insider Buying: Rlj Spac Acquisition, Llc Acquires 6,000 Shares of RLJ Entertainment Stock

RLJ Entertainment major shareholder Rlj Spac Acquisition, Llc bought 6,000 shares of RLJ Entertainment stock on the open market in a transaction dated Friday, April 11th.

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Related Topix: Corporate / Securities Law, Law

NWCN.com

Court overturns 1 SEC conflict minerals provision

A federal appeals court has overturned a disclosure requirement that public companies must post information about their use of minerals from Congo, where militias linked to atrocities have profited from mining minerals used in electronics, jewelry and other goods.

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Related Topix: Corporate / Securities Law, Law, Non-Profit

Daily Kos

"Insiders Tell All: Both the Stock Market and the SEC Are Rigged," by Pam Martens

Since bestselling author Michael Lewis appeared on 60 Minutes on March 30 to promote his new book, "Flash Boys," and explained how the U.S. stock market is rigged; and Brad Katsuyama, the head of IEX, an electronic trading platform who plays a central role in the Lewis book, did the same on CNBC a few days later, the debate has gone viral.

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Related Topix: Corporate / Securities Law, Law, Blog News, US News, Criminal Defense Law, Liberal Political News

Business Journal

In the money April 14: Austin startup funding wrap-up

At least three Austin-area companies reported receiving investment capital last week to take their business to the next level, according to the companies and filings with the U.S. Securities and Exchange Commission .

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

CNN

Invest in next Facebook...for a few bucks

Plenty of people have donated a few dollars on Kickstarter to help fund everything from jeans to school field trips and the new "Veronica Mars" movie.

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Related Topix: Science / Technology, Virtual Reality, Corporate / Securities Law, Law

WireNews+Co

Washington Is Humanity's Worst Enemy

How does Washington get away with the claim that the country it rules is a democracy and has freedom? This absurd claim ranks as one of the most unsubstantiated claims in history.

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Related Topix: US News, US Supreme Court, Prison, Corporate / Securities Law, Law, Cohen Group, Consulting, Opinion

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