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Securities and Exchange Commission News

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

3 hrs ago | Business Journal

Family Dollar CEO Howard Levine here to stay - for now

Howard Levine will remain chief executive at Family Dollar Stores Inc. following an $8.5 billion acquisition by Dollar Tree Inc. .

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Related Topix: Dollar Tree Stores, Retail, Family Dollars Stores, Tree.com, US Securities and Exchange Commission, Financial Services, Corporate / Securities Law, Law

Tue Jul 29, 2014

Reuters

Exclusive: Upstart trading venue IEX may prompt U.S. market rule change

U.S regulators may relax rules that require the fastest possible execution of securities trades, potentially helping upstart trading venue IEX Group's plans to become a full-fledged stock exchange.

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Related Topix: Books, Flash Boys, Corporate / Securities Law, Law

Lipper HedgeWorld News

U.S. judge says SEC can't seek $1.4 billion from Texas' Wylys

A U.S. judge on Tuesday [July 29] ruled that a securities regulator cannot seek as much as $1.4 billion in damages from Texas tycoon Sam Wyly and his late brother Charles ' estate for their role in a fraudulent offshore scheme.

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

JD Supra

SEC Requires Floating NAV for Institutional Money Market Funds; IRS...

A divided Securities and Exchange Commission recently adopted rules that will require floating net asset values for institutional money market funds and give most money market funds the discretion to impose liquidity fees and gates.

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Related Topix: Tax, Corporate / Securities Law, Law

Business Journal

EZCorp posts Q3 profit, projects higher Q4 earnings in light of big changes

EZCorp Inc. reported Tuesday a third-quarter profit of $12.3 million, or 21 cents per share, on revenue of $241.3 million compared with a loss of $4.4 million, or 11 cents per share, on revenue of $235.1 million during the same period last year.

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Related Topix: Retail, EZCORP, Financial Services, Corporate / Securities Law, Law

Fox News

"Serial Con Man" Busted in Solar Energy Farm Scam

The Securities and Exchange Commission charged a jailed con man for the second time this month with luring investors into a phony venture using made-up press releases -- this time for a non-existent solar energy company.

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Related Topix: Corporate / Securities Law, Law, Solar Energy, Alternative Energy, Renewable Energy (Green Energy), Energy, Federal Prisons, Prison, Business News

Reuters

U.S. SEC lawyer Gellasch to leave for Senate investigative panel

An attorney at the U.S. Securities and Exchange Commission who once helped craft legislative language for the "Volcker rule" and other major pieces of the 2010 Dodd-Frank financial reform law is returning to Capitol Hill.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, US Politics, US News, US Senate, Carl Levin, Democrat

Digital Post Production

Amedisys Announces New $70 Million Second Lien Credit Facility and...

Amedisys, Inc. , one of America's leading home health and hospice care companies, today announced that it entered into a new $70 million six-year second lien term loan facility.

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Related Topix: Healthcare Industry, Amedisys, Medicine, Palliative Care, Corporate / Securities Law

GlobeNewswire

FHLB Des Moines Reports Second Quarter 2014 Preliminary Unaudited Financial Results

The Federal Home Loan Bank of Des Moines today released preliminary unaudited financial highlights for the quarter ended June 30, 2014.

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

GhanaWeb

Gov't asked to look within for capital

The Chairman of the Securities and Exchange Commission , Professor E.V.O. Dankwah, has encouraged the government to look within to raise capital for development.

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Related Topix: Corporate / Securities Law, Law

Insider Monkey

Adage Capital Reveals New Investment In Post-IPO TerraForm Power Inc

Phill Gross and Robert Atchinson , the managers of Adage Capital Management , see value in TerraForm Power Inc , an energy company that recently went public.

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Related Topix: Corporate / Securities Law, Law

Globe and Mail

U.S. investigates UBS, Deutsche Bank speed trading

UBS has saved $3.4-billion in trust-busting fines after blowing the whistle on other offenders to the European Commission.

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Related Topix: Corporate / Securities Law, Law

Business Journal

In the money July 28: Austin startup funding wrap-up

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

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

Mon Jul 28, 2014

The Columbus Dispatch

Virgin America airline files with SEC to issue IPO

The E-Edition includes all of the news, comics, classifieds and advertisements of the newspaper.

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Related Topix: Corporate / Securities Law, Virgin America, Law

Wall Street Journal

Meet Some of the SEC's Whistleblowers

What do four adult entertainers, 138 engineers, a handful of pilots and a pastor have in common? They all think they have hot tips about an alleged financial fraud.

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Related Topix: Corporate / Securities Law, Law

The New Zealand Herald

Graeme Hart reviews ownership of Evergreen, Closures, SIG

New Zealand billionaire Graeme Hart's Reynolds Group is considering the sale of three units that make up more than a third of the global packaging empire's earnings.

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

New York Post

Cynk, penny-stock a star,a continues tumble

Sykes understands America's fascination with Cynk - the Belize-based company with a stock that went from 6 cents a share to $21.45, got halted by the Securities and Exchange Commission as it slid to $13.60, then crashed to $2.10 on Friday, its first trading session after a 10-day suspension.

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Related Topix: Corporate / Securities Law, Law

Reuters

Ex-Harbinger COO settles SEC claims he aided fraud

The former chief operating officer of Philip Falcone's hedge fund Harbinger Capital Partners has agreed to pay $200,000 to resolve charges he aided a scheme to misappropriate fund assets, the U.S. Securities and Exchange Commission said Monday.

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

Wall Street Journal

Harbinger's Ex COO Settling SEC Charges

The Securities and Exchange Commission said Monday that the former chief operating officer of Harbinger Capital Partners LLC agreed to settle charges for assisting in the misappropriation of millions of dollars from a hedge fund, and will be prohibited from working in the securities industry for at least two years.

Comment?

Related Topix: Corporate / Securities Law, Law

MarketWatch

Smith & Wesson to pay $2 million over SEC bribery charges

Smith & Wesson Holding Corp. on Monday agreed on pay $2 million to settle disciplinary proceedings that it international sales team bribed military and police officials in Pakistan, Indonesia and other countries, in order to attract new businesses from 2007 until 2010, the Securities and Exchange Commission announced.

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

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