Securities and Exchange Commission News
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2 hrs ago | Truthdig
Reading companies' annual reports to the Securities and Exchange Commission is a reliable cure for insomnia.
2 hrs ago | JD Supra
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.
6 hrs ago | CFO
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.
10 hrs ago | AmericanBankingNews.com
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.
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.
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.
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.
New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.
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.
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.
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.
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 .
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.
Gencor Industries, Inc. major shareholder Sherry Houtkin unloaded 344 shares of Gencor Industries, Inc. stock in a transaction dated Monday, August 25th.
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.
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.
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.
Updated: Fri Aug 29, 2014 01:22 pm
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