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Securities and Exchange Commission News

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

23 min ago | International Business Times

Securities And Exchange Commission Mulls Policy Shift To Push More...

The U.S. Securities and Exchange Commission is debating whether to push fraudsters engaged in "egregious misconduct" into conceding wrongdoing after an SEC enforcement action, in a move away from longtime policy, the Financial Times reported Wednesday.

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

3 hrs ago | Forbes.com

Conflict-Free Retirement Plan Advisers Remain Hard To Find

In recent years the U.S. Department of Labor, the Securities and Exchange Commission, and the General Accountability Office have all advised companies sponsoring retirement plans that conflicts of interest related to investment consultants to plans are widespread and that these conflicts have resulted in reduced returns, as well as higher fees for ... (more)

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Related Topix: Corporate / Securities Law, Law, Employment / Labor Law, Pension, Personal Finance, Orange County, FL

Tue Jun 18, 2013

The San Diego Union-Tribune

RSF stock promoter pleads guilty to fraud

David F. Bahr, 54, admitted that he and others attempted to artificially inflate the price of shares of iTrackr, a penny stock.

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Related Topix: Corporate / Securities Law

Lexington Herald-Leader

SEC to require mea culpas in some big settlements

Currently, under a longstanding practice, the SEC allows companies and individuals to settle charges without admitting or denying wrongdoing.

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Related Topix: Corporate / Securities Law, Law

CIO

Wall Street Sets Example for Testing Security Defenses

CSO - Wall Street plans to hold a simulated cyberattack against equity markets this month that experts hope will set an example of how industries should test their defenses against assailants.

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Related Topix: Corporate / Securities Law, Law, CPU, Science / Technology

InvestmentNews

SEC officials warn insurers on annuity disclosures, VA changes

As insurance products become more complex, the industry needs to redouble its efforts to fully disclose their risks, a federal regulator said today.

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Related Topix: Corporate / Securities Law, Law, Personal Finance, Retirement

Bloomberg

Sudden Stock Crashes Are Usually Caused by Human Error, SEC's Berman Says

Concern that American stock markets have become more susceptible to split-second crashes due to computerization isn't supported by the data, a Securities and Exchange Commission official said.

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Related Topix: Corporate / Securities Law, Law, Science, Computer Science, Financial Markets, NYX, Inc, Manufacturing, Automakers

Reuters

Mini flash crashes caused by sloppiness, not a broken market -SEC

Unexplained rapid price drops in single stocks have generally been triggered by human error, not nefarious trading activity or high-speed trading algorithms gone wild, an official at the U.S. Securities and Exchange Commission said on Tuesday.

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

Investor's Business Daily

First Solar Announces Closing of Common Stock Offering

First Solar, Inc. today announced the closing of an underwritten public offering of 9,747,000 shares of its common stock, including 1,247,000 shares issued and sold as a result of the exercise of substantially all of the underwriters' over-allotment option on June 17, 2013, at a public offering price of $46.00 per share.

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Related Topix: First Solar, Healthcare Industry, Utility Scale Solar, Solar Energy, Alternative Energy, Renewable Energy (Green Energy), Energy, Corporate / Securities Law, Law

Ghanamma.com

'HFC's status not under threat'

The Republic Bank of Trinidad and Tobago has displaced the Social Security and National Insurance Trust as the largest institutional shareholder in HFC Bank, raising fears of a possible takeover and subsequent rebranding of one of the country's most established indigenous banks.

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Related Topix: Trinidad and Tobago, Central America, World News, Corporate / Securities Law, Law

Corporate Counsel

Another SEC Whistleblower, More On the Way

The Securities and Exchange Commission just announced the issuance of the agency's second Dodd-Frank whistleblower award - serving as a reminder to in-house counsel to bolster their companies' own internal reporting programs, attorneys say.

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Related Topix: Corporate / Securities Law, Law

Mon Jun 17, 2013

Customer Interaction Solutions

DISH Network Announces Expiration of Hart-Scott-Rodino Waiting Period ...

DISH Network Corporation today announced the expiration of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act in connection with the tender offer by DISH Acquisition Holding Corporation, a wholly-owned subsidiary of DISH, to purchase all outstanding shares of Class A Common Stock of Corporation , including any shares of Class ... (more)

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Related Topix: Cable & Satellite, Telecom, DISH Network, Television, Clearwire, Corporate / Securities Law, Law

Reuters

Chesapeake hires former SEC lawyer as compliance officer

Patrick Craine, a partner with the law firm Bracewell & Giuliani and former attorney in the SEC's Fort Worth, Texas, office, was hired to augment the company's regulatory and legal compliance efforts, Chesapeake's new chief executive officer, Doug Lawler, said in a statement.

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Related Topix: Corporate / Securities Law, Law, Fort Worth, TX

MarketWatch

Wider tick spreads may be on the way

The nation's securities regulator is under brand new pressure to kick some life into small capitalization public companies and the lackluster IPO market.

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Related Topix: US Politics, Representative Sean Duffy, US News, Republican, US House of Representatives, Corporate / Securities Law, Law, MarketWatch, Startups

Internet Retailer

CDW to go public

CDW Corp. once again plans to join the ranks of publicly traded companies. The computer parts and electronics retailer filed an initial public offering Friday with the U.S. Securities and Exchange Commission, aiming to raise $738 million by selling stock.

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Related Topix: Retail, Computers, CDW, US Securities and Exchange Commission, Financial Services, Corporate / Securities Law, Law, Venture Capital, Emerging Technology

FiveThirtyEight

DealBook: A Warning Shot on Management Buyouts

Ronald O. Perelman's attempt to take Revlon private in 2009 resulted in an $850,000 federal penalty and $37 million in settlements of private lawsuits.

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Related Topix: Revlon, Household Products, Corporate / Securities Law

Grassroots Journal

Shame on TIAA-CREF for Muzzling Shareholder Voices

Once again, TIAA-CREF has denied its shareholders the right to have their voices heard through the ballot box at this year's shareholder meeting.

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Related Topix: Israel, World News, Middle East, Corporate / Securities Law, Law, Palestinian Territories

Forbes.com

SEC's Definition of an Index Is Outdated

What is an index? It's hard to say these days. An index used to be a broad measure of market value.

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

KBKW News

Weyerhaeuser Announces Public Stock Offering, to Fund Washington Purchase

Weyerhaeuser Company announced today that it intends to offer, subject to market and other conditions, 28,000,000 of its common shares in a registered public offering, subject to market and other customary conditions.

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Related Topix: Construction, Weyerhaeuser, Stanley, Investment Banking, Morgan Stanley European Fund, Financial Services, Morgan Stanley, Corporate / Securities Law, Law

The Washington Post

Small business weekly: On immigration and capital formation, regulatory delays stifling entrepreneurs

A look back at some of the biggest small business and start-up stories from the past week, with a focus on Washington.

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Related Topix: Small Business, Personal Finance, Law, Employment / Labor Law, Environmental Law, Corporate / Securities Law, Healthcare Law, Immigration Reform