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Securities and Exchange Commission News

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

1 hr ago | 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

5 hrs ago | 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

Reuters

UPDATE 1-Ex-LPL broker ordered to pay $1.9 mln in U.S. SEC fraud suit

A former broker for a unit of LPL Financial LLC accused of diverting clients' funds for his personal expenses has been ordered by a federal judge to pay more than $1.9 million in civil sanctions.

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

CFO

SEC Spells Out How Rating Agencies Must Reveal Conflicts of Interest

New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.

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Related Topix: Corporate / Securities Law, Law

American Banker

Activist Stilwell Refuses Court Appearance Tied to SEC Probe

A judge had ordered Joseph Stilwell to appear in court and respond to a subpoena from the Securities and Exchange Commission tied to a securities fraud investigation.

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Related Topix: Corporate / Securities Law, Law

JD Supra

Sec Adopts Regulation Ab II

This morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules implementing a series of changes to the registration and offering process for asset-backed securities and expanded disclosure and reporting under the SEC's Regulation AB.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Personal Finance

Forbes.com

How The SEC's Examination Of Alternative Funds Affects BlackRock

The Securities and Exchange Commission is reportedly examining alternative mutual funds launched by some of the country's largest asset managers, in order to improve regulatory oversight for the segment which is fast gaining popularity among retail investors.

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

Business Journal

Houston Medical center operator eyes U.S. stock exchange

Houston-based Northstar Healthcare Inc. aims to list itself on a United States stock exchange in addition to its current listing on the Toronto Stock Exchange, according to a filing with the Securities and Exchange Commission .

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Related Topix: Corporate / Securities Law, Law

Business Wire

Logitech Receives Additional Extension from SIX Swiss Exchange for Publishing FY 2014 Annual Report

Logitech's Annual Report was originally scheduled to be published by July 31, 2014, and the SIX Swiss Exchange had previously granted an interim extension until Aug. 29, 2014.

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Related Topix: Startups, Logitech, Corporate / Securities Law, Law, Computers, Logitech International SA

Business News

SEC's plan to brake the 'Flash Boys' draws critics

A test program to change the way small-company stocks are traded could slow high-frequency action, though some market participants worry that the initial steps are too tepid.

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Related Topix: Corporate / Securities Law, Law

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