4 hrs ago | 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.
8 hrs ago | 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.
9 hrs ago | Internet Retailer
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.
10 hrs ago | 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.
11 hrs ago | 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.
15 hrs ago | 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SEC's Definition of an Index Is Outdated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.
16 hrs ago | 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.
20 hrs ago | The Washington Post
A look back at some of the biggest small business and start-up stories from the past week, with a focus on Washington.
22 hrs ago | Vanguard
Shareholders canvass 3yrs tenure for audit committee members
Shareholders under the aegis of Ibadan Zone Shareholders Association, IZSA, have called for a review of tenure of members of audit committee of quoted companies to a period of three years.
SEC social media ruling: What it means for banks
On April 2, the Securities and Exchange Commission announced that it was not going to initiate enforcement action against Reed Hastings, the CEO of Netflix, who had last year posted a company milestone on his personal Facebook profile without first informing investors.
Two leading Thai government agencies are thoroughly examining the money trail of bankrupt fitness centre California Wow Experience , with preliminary evidence pointing to a swindling of the public, according to a senior officer of the Securities and Exchange Commission .
Fiduciary advocates warn SEC not to dilute standard
Advocates for strengthening investment advice rules for brokers are warning the Securities and Exchange Commission not to dilute the standard that applies to investment advisers: acting in the best interests of clients.
SEC, FINRA Warn Investors About Pump-And-Dump Sto
The Securities and Exchange Commission and the Financial Industry Regulatory Authority today issued a warning to investors about a sharp increase in e-mail linked to "pump-and-dump" stock schemes.
How much more does the boss make?
The average Cincinnati CEO made 93 times that amount, or $4.2 million, according to data compiled by WCPO Digital.
Deregistration decision: JOBS Act drives 61 to file goodbye to SEC
Deregistrations of banking companies have shot up since Congress passed legislation in April, SNL Financial reports.
SEC Issues New FAQs on Conflict Minerals Rules
The U.S. Securities and Exchange Commission recently published limited guidance on frequently asked questions relating to the SEC's new Conflict Mineral Rules, which require U.S. issuers that manufacture or contract to manufacture products containing conflict minerals to disclose annually whether those minerals originated in the Democratic Republic ... (more)
Whistleblowers eligible for SEC bounty in case against Mass. hedge fund manager
The U.S. Securities and Exchange Commission will award three whistleblowers 15 percent of whatever it can collect from an Andover man who used a "sham hedge fund" to take money from investors.
Onconova Files Registration Statement for Proposed Initial Public Offering of Common Stock
NEWTOWN, Pa. & PENNINGTON, N.J. -- -- Onconova Therapeutics, Inc. today announced that it has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission relating to the proposed initial public offering of its common stock.
Money Market Reforms: Change for Your Buck?
Ever since a big money market fund "broke the buck" during the financial crisis in 2008, financial reformers have been calling for an end to such funds' claims that $1 invested is always worth the same amount.
Goldman Sachs CEO Lloyd C. Blankfein
Goldman Sachs Group Inc. Chief Executive Officer Lloyd C. Blankfein met this month with the top U.S. securities regulator to discuss issues including the Volcker rule and regulations for money-market mutual funds.