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Securities and Exchange Commission News

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

7 min ago | National Mortgage News

SEC Turns Up the Heat on Ocwen

The regulatory scrutiny of Ocwen Financial Corp. continues to mount, as the Securities and Exchange Commission prepares to serve its second subpoena in as many months to the nonbank mortgage servicer.

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Related Topix: Financial Services, Ocwen Financial, Corporate / Securities Law, Law, Home, Mortgage, Personal Finance, Outsourcing

Behind The Killcams - 2 PIECE HITMARKER

Watch A Tortoise Chase Down A Remote-Controlled Truck With ALL ITS MIGHT

George W. Bush Just Took The ALS Ice Bucket Challenge And It's Pretty Hilarious

This Woman Looks Like She's Wearing Makeup. She's Not.

2 hrs ago | JD Supra

Sec Fcpa Settlement Sends Wake-Up Call to Small and Medium-Sized Businesses

On July 28, 2014, Smith & Wesson Holding Corp. , the firearms manufacturer based in Springfield, Massachusetts, agreed to resolve charges brought by the Securities and Exchange Commission for violations of the Foreign Corrupt Practices Act .

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Related Topix: Smith and Wesson, Sporting Goods, Corporate / Securities Law, Law

5 hrs ago | ABC15.com

SeaWorld drops appeal of OSHA violation

SeaWorld Entertainment has dropped an appeal of citations it received after the drowning of a trainer who was pulled under by a killer whale.

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Related Topix: Corporate / Securities Law, Law

8 hrs ago | MacReport Media RSS Feed

Digital Caddies Files Registration Statement with the Securities Exchange Commission

K: CADY), a leader in the on-course delivery of technology services and content to golfers, is pleased to announce that it has filed a registration statement on Form S-1 with the Securities and Exchange Commission for a proposed direct public offering of its common stock and a proposed offering for resale of existing shares of its common stock held ... (more)

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Related Topix: Corporate / Securities Law, Law

12 hrs ago | Insider Monkey

Hedge Fund News: David Tepper, Thomas Steyer & Brevan Howard

David Tepper Flies High With Airline Stocks And Hamptons Parties Summer for the well-heeled means posh, star-studded parties at the Hamptons, many for good causes, and the better the causes, the more high-profile the guests.

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Related Topix: Dance, Taylor Dayne, Pop/Rock, Goldman Sachs, Investment Services, Financial Services, Corporate / Securities Law, Law

Tue Aug 19, 2014

Freshnews

Update on Recommended Public Offer for Ziggo

Liberty Global plc today announces, in connection with its previously announced recommended public offer to all holders of issued and outstanding ordinary shares in the capital of Ziggo N.V. as more fully described in the joint press releases of Liberty Global and Ziggo of January 27, 2014 and June 27, 2014, that its prospectus/offer to exchange, ... (more)

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

JD Supra

SEC's Office of Investor Education and Advocacy Releases Alert...

On August 4, the Securities and Exchange Commission's Office of Investor Education and Advocacy issued an Investor Alert to assist investors in identifying potentially fraudulent private placements.

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Related Topix: Corporate / Securities Law, Law

Voice For Liberty in Wichita

SEC orders Kansas to stop doing what it did under Sebelius and Parkinson

The Securities and Exchange Commission found that Kansas mislead bond investors.

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Related Topix: Corporate / Securities Law, Law, Pension, Financial Markets

WBUR-AM Boston

Watertown Golf Partners Charged With Insider Trading

Federal securities regulators have charged a former Eastern Bank executive with insider trading for allegedly telling a golfing partner about an impending acquisition.

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Related Topix: Insider, Club, Corporate / Securities Law, Law

Business Journal

SEC charges Colorado woman with offering fraud in Atlanta

The Securities and Exchange Commission has charged Heidi Ann Gamer with running a $771,900 offering fraud using two companies, including one in Atlanta.

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Related Topix: Corporate / Securities Law, Law

Reuters

Venture firm tries telling others how to invest in private companies

A Washington, D.C.-area company that invests in startup companies is moving into a new line of business: advising others on how they too can invest in startups.

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Related Topix: Corporate / Securities Law, Law

AmericanBankingNews.com

Preformed Line Products major shareholder P Ruhlman Irrevocable Barbara Unloads 20,427 Shares

Preformed Line Products major shareholder P Ruhlman Irrevocable Barbara sold 20,427 shares of the stock on the open market in a transaction dated Friday, August 15th.

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Related Topix: Preformed Line Products Company, Corporate / Securities Law, Law

Journalgazette.net

Data breach at Lutheran wide-ranging

Lutheran Health Network's parent company Monday revealed that 4.5 million patient names, birthdates and Social Security numbers have been stolen - possibly by cyber-criminals in China.

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Related Topix: Medicine, Community Health Care, Hospital Administration, Healthcare Industry, Corporate / Securities Law, Law

Mon Aug 18, 2014

AmericanBankingNews.com

Veeva Systems major shareholder Maja Kristin Unloads 25,000 Shares

Veeva Systems major shareholder Maja Kristin sold 25,000 shares of the company's stock in a transaction that occurred on Friday, August 15th.

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Related Topix: Veeva, Corporate / Securities Law, Law

AmericanBankingNews.com

Republic Services major shareholder Buys $15,592,000 in Stock

Republic Services major shareholder Cascade Investment Llc purchased 400,000 shares of the stock on the open market in a transaction that occurred on Thursday, August 14th.

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Related Topix: Republic Services, Environmental, Waste Management, Corporate / Securities Law, Law

The Orlando Sentinel

St. Cloud medical patients' information among millions stolen in cyber attack

St. Cloud Regional Medical Center is among the hospitals owned by a company whose computer systems were breached this year, resulting in the theft of the personal information of about 4.5 million people, authorities said Monday.

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Related Topix: Computer Security, Science / Technology, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services

Business Journal

Community Health Systems data breach affects millions of patients

The parent company of Cedar Park Regional Medical Center, north of Austin, said 4.5 million patients' nonmedical data has been breached, according to a filing with the Securities and Exchange Commission by Nashville-based Community Health Systems .

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Related Topix: Community Medical Center, Medicine, Community General Hospital, Community Health Care, Hospital Administration, Quorum, Healthcare Industry, Corporate / Securities Law, Law

ComputerWorld

New Microsoft same as the old Microsoft

For all the talk by its CEO about a new and different Microsoft, the company's revenue and profit engines remain untouched, with money-making software groups tied to hardware-intensive divisions that increasingly drag down the firm's overall margin.

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Related Topix: Startups, Microsoft, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, G!, Video Games, The, Deep Silver

CFO

SEC to Clamp Down on Credit-Ratings Agencies

Credit-ratings agencies are bracing for new regulations that will tackle problems with the "issuer pays" model and a lack of disclosures to investors.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Home, Mortgage, Personal Finance

Reuters

UPDATE 1-Wall St regulator FINRA charges Wedbush with market access violations

Wall Street's self-funded regulator on Monday charged brokerage firm Wedbush Securities with having shoddy risk controls, a flaw that in turn allowed thousands of traders to flood U.S. markets and execute manipulative trades.

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

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