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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 | 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

6 hrs ago | 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

6 hrs ago | 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

7 hrs ago | 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

10 hrs ago | 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

13 hrs ago | 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

13 hrs ago | 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

15 hrs ago | 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

19 hrs ago | 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

Wed Aug 27, 2014

AmericanBankingNews.com

Insider Selling: Gencor Industries, Inc.

Gencor Industries, Inc. major shareholder Sherry Houtkin unloaded 344 shares of Gencor Industries, Inc. stock in a transaction dated Monday, August 25th.

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Related Topix: Manufacturing, Industrial Machines, Gencor Industries, Corporate / Securities Law, Law

Denver Post

Solera Bank mortgage lending division quit in aftermath of proxy fight

In the aftermath of a testy proxy battle this summer for control at Solera National Bancorp - one that included the resignation of its board of directors and the subsequent firing of its CEO - the entire mortgage-lending division quit, according to a federal filing.

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

AmericanBankingNews.com

Insider Selling: 5Am Partners Ii, Llc Sells 433,000 Shares of Relypsa Stock

Relypsa major shareholder 5Am Partners Ii, Llc sold 433,000 shares of the stock on the open market in a transaction dated Tuesday, August 26th.

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Related Topix: Corporate / Securities Law, Law

JD Supra

SEC Issues Valuation Guidance for Funds Holding Certain Short-Term Debt Securities

The Securities and Exchange Commission recently provided some expanded valuation guidance to mutual funds in its release on Money Market Fund Reform dated July 23, 2014.

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Related Topix: Corporate / Securities Law, Law, Mutual Funds, Personal Finance

JD Supra

SEC Charges Colorado Woman and Her Two Companies with Offering Fraud

On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic Systems, LLC and Gamer Media Partners Corp. The SEC alleged that between August 2011 and August 2012, Gamer fraudulently sold $771,900 of securities to over three dozen investors.

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Related Topix: Corporate / Securities Law, Law

Business Journal

SEC could give sustainability 'massive' boost, Bloomberg chief Doctoroff says

Bloomberg LP CEO Daniel Doctoroff, who advocated for standardized sustainability reporting for public companies.

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

Washington Examiner

SEC adopts rules on loan-backed securities

Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers' credit record and income under action taken Wednesday by federal regulators.

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

ABC News

SEC Adopts Rules on Loan-Backed Securities

Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers' credit record and income under action taken Wednesday by federal regulators.

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

WTHR-TV Indianapolis

SEC adopts rules on loan-backed securities

Time Warner Cable says a problem that occurred during routine maintenance caused a nationwide outage of its Internet service for hours on Wednesday morning.

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Related Topix: Corporate / Securities Law, Law, Cable & Satellite, Telecom, NaviSite, Time Warner Cable, Bob McDonnell, US Governors, Wedding

AmericanBankingNews.com

usell.com Director Peter Benz Buys 5,000 Shares

The shares were purchased at an average cost of $2.97 per share, for a total transaction of $14,850.00.

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Related Topix: Corporate / Securities Law, Law

Bangkok Post

SEC plans stock-manipulation fines

Thailand is planning new rules to check stock-market manipulation by allowing the regulator to file civil lawsuits and impose hefty fines on the law-breakers.

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

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