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Securities and Exchange Commission News

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

19 min ago | Amarillo.com

SEC filing details pending $21.4M Hastings buyout

Hastings Entertainment began considering selling itself in 2012 as one of several alternatives to a forecasted future of continued losses, according to its latest U.S. Securities and Exchange Commission filing.

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Related Topix: Corporate / Securities Law, Law, Retail, Hastings Entertainment, 2012, Gliese Games, Video Games, US Securities and Exchange Commission, Financial Services

1 hr ago | Insurance News Net

Alternative Mutual Funds To Get SEC Test For Leverage, Liquidity

Alternative mutual funds will be examined by the Securities and Exchange Commission to assess whether managers are complying with leverage and liquidity rules... Insiders know more, are better prepared and generally more successful.

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Related Topix: Corporate / Securities Law, Law

5 hrs ago | Securities Industry

ACE and IBM Join to Offer Hedge Funds New CyberSecurity and Compliance Solutions

In this age of cyber-terrorism and the need for increased compliance and security, hedge funds are now being offered a new suite of products from ACE IT and IBM.

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Related Topix: Corporate / Securities Law, Law, Science / Technology, Computer Security

9 hrs ago | AlertNet

Democrats urge U.S. SEC to press ahead on conflict minerals rule

A trader weighs gold nuggets at an illegal mine-pit in Walungu territory of South-Kivu province near Bukavu, April 5, 2014 REUTERS/Kenny Katombe WASHINGTON, April 22 - Twelve lawmakers are urging U.S. regulators to implement a new rule requiring companies to disclose if their products contain "conflict minerals" from Africa's Democratic Republic of ... (more)

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

13 hrs ago | Sydney Morning Herald

Telstra executive's wife linked to $300k Autohome acquisition

There is no allegation Mr Hon engaged in any wrong doing or that his departure was in any way linked to the transaction.

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Related Topix: Transaction Wireless, World News, China, Asia, Marketing, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services

Tue Apr 22, 2014

Rocky Mount Telegram

Employee union takes pension complaints to feds

The union representing tens of thousands of North Carolina state workers said Tuesday it filed a complaint with the federal Securities and Exchange Commission over how State Treasurer Janet Cowell is managing the $86 billion pension system.

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Related Topix: Corporate / Securities Law, Law

Reuters

Texas businessman Wyly takes stand in $550 million securities trial

Texas businessman Sam Wyly took the stand in his civil trial in New York on Tuesday and denied U.S. Securities and Exchange Commission claims that he and his brother used a complex network of offshore trusts to conceal years of stock trades and net $550 million in undisclosed profit.

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

Sys-Con Media

XBRL Us Gaap Pension Analyzer Identifies Significant Errors in XBRL Sec Filings for Q1 2014

A review of XBRL filings in the most recent quarter reveals that 32% of public companies had errors in their pension footnotes resulting in inaccurate data that is inconsistent with the HTML version of the company's financial statements.

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

KNDU

Kennewick family farm seeking public investors

A big family farm based in Kennewick is seeking public investors. Taggares Agriculture recently filed with the Securities and Exchange Commission for an initial public stock offering to raise up to $48 million.

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Related Topix: Corporate / Securities Law, Law

MarketWatch

Valeant's ravenous buyout appetite reappears with Allergan proposal

On an acquisition tear of late, Valeant Pharmaceuticals appears to be mounting another hostile takeover, fixing its sights this time on Botox-maker Allergan Inc. with activist investor William Ackman providing some of the ammunition.

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Related Topix: Allergan, Biotech, Corporate / Securities Law, Law

JD Supra

SEC Cybersecurity Roundtable Addresses Broker-Dealer and Investment Adviser Risks

On March 26, 2014, the Securities and Exchange Commission hosted a roundtable to discuss cybersecurity issues facing public companies, broker-dealers, investment advisers and other market participants.

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Related Topix: Corporate / Securities Law, Law

Mon Apr 21, 2014

On Wall Street

SEC Said to Weigh Shining Light on Broker Role in Routing Stocks

Top Planning Concerns for UHNW Clients Working with UHNW clients requires more than solid investment management and estate planning, according to advisor Paul Pagnato, founder of the Pagnato-Karp Group.

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Related Topix: Corporate / Securities Law, Law, Financial Markets, Estate Planning, Personal Finance, Financial Services, T Rowe Price Group, Investment Services

Reuters

Caterpillar CEO Oberhelman's pay fell 33 percent in 2013: SEC filing

Oberhelman still took home nearly $15 million in total compensation in 2013, according to the SEC filing, more than half of it in the form of stock options awards.

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

Ledger-Enquirer.com

BP Manager Allegedly Learned Scale of Spill, Dumped Stock

Fires burn around the site of the BP Deepwater Horizon rig site in the Gulf of Mexico, June 19, 2010.

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Related Topix: Corporate / Securities Law, Law

ComputerWorld

SEC seeks data on cyber security policies at Wall Street firms

The Securities and Exchange Commission plans to review the cyber defenses of 50 Wall Street broker-dealers and investment advisers to determine whether they are prepared for potential cyber threats.

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Related Topix: Corporate / Securities Law, Law

Sys-Con Media

Transvaginal Mesh Lawsuit News: FDA Inspection of American Medical...

In a regulatory filing with the U.S. Securities and Exchange Commission , Endo Health Solutions, Inc., the parent of American Medical Systems, disclosed that the SEC filing indicates that American Medical Systems has already submitted a corrective action plan to the FDA, the facility will have to undergo a follow-up inspection at some point in the ... (more)

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Related Topix: Healthcare Law, Law, Food and Drug Administration, Corporate / Securities Law, US Securities and Exchange Commission, Financial Services, C R Bard, Medicine, Medical Equipment, Healthcare Industry

Kansas City InfoZine

The Myth of Corporate Disclosure Exposed

CREW compared political spending reports from 60 companies to contributions disclosed on tax forms filed by section 527 political organizations such as the Democratic and Republican governors' associations and found significant discrepancies for more than one-third of the companies.

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Related Topix: Corporate / Securities Law, Law

BroadcastNewsroom

ChinaNet Online Holdings Receives Nasdaq Notification of Non-Compliance With Listing Rules

ChinaNet Online Holdings, Inc. , a leading B2B Internet technology company focusing on providing online-to-offline sales channel expansion services for small and medium-sized enterprises and entrepreneurial management and networking services for entrepreneurs in the People's Republic of China, today announced that on April 16, 2014, it received a ... (more)

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Related Topix: Startups, CNET Networks, World News, China, Asia, Corporate / Securities Law, Law

AllAfrica.com

Nigeria: Nigerian Equities Market Rises N4.5 Trillion in Three Years Under Onyema

The Nigerian equities market has appreciated by N4.531 trillion in the last three years since the Nigerian Stock Exchange management led by Oscar Onyema took over in April 2011.

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Related Topix: Corporate / Securities Law, Law

Sun Apr 20, 2014

Dallas Morning News

Losses prompt SEC scrutiny

Jeff Steckbeck didn't read the prospectus. He didn't realize the price was inflated.

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Related Topix: Corporate / Securities Law, Law, Insurance, Credit Suisse Group, Financial Markets

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