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Securities and Exchange Commission News

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

2 hrs ago | News Times

SEC bars Darien man from industry

A Darien man who worked as an investment adviser without the proper registration has been barred from the securities industry for 10 years, according to a U.S. Securities and Exchange Commission order issued Wednesday.

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

6 hrs ago | Business Wire

Press release distribution, EDGAR filing, XBRL, regulatory filings

The report is available at 'www.fitchratings.com'. Additional information is available at 'www.fitc... )--McDermott International, Inc. announced today that it plans to issue a press release regarding its financial results for the sec... rEVO Biologics, Inc. Announces Enrollment of First Patient in Phase 3 Trial of ATryn to Treat Early Onset ... (more)

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Related Topix: Swisscom AG, Telecom, Cash America International, Financial Services, Cardiovascular Systems, Healthcare Industry, Banking, Bank of Nova Scotia The, American Water Works Company, Water Utilities, Corporate / Securities Law, Law

Wed Jul 23, 2014

Reuters

Republican lawmaker to grill U.S. SEC over Ackman tactics

A U.S. lawmaker will pressure the U.S. Securities and Exchange Commission on Thursday to consider a raft of reforms, after William Ackman's aggressive efforts to take over Allergan Inc raised concerns about loose rules governing disclosure and shareholder voting.

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Related Topix: Corporate / Securities Law, Law, US Politics, US News, Edward Royce, Republican, US House of Representatives, US Securities and Exchange Commission, Financial Services, Allergan, Biotech

Reuters

Standard & Poor's may face SEC charges over ratings

The parent of Standard & Poor's, which is defending against a $5 billion lawsuit by the federal government over its credit ratings, said on Wednesday it may soon also face U.S. Securities and Exchange Commission charges over another set of ratings.

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

Brandon Sun

S&P says regulators considering action against it over mortgage securities ratings in 2011

Standard & Poor's says regulators have told the rating agency they are considering taking civil enforcement action against it over ratings it gave to six deals in 2011 involving securities tied to commercial mortgages.

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Related Topix: Corporate / Securities Law, Law

Myrtle Beach Online

Former Myrtle Beach lawyer facing criminal charges over investment scheme

Also charged are Global Holdings co-founder Robert Dane Freeman, a former N.C. investment advisor, and Charles Lowell Walker, who helped recruit investors.

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

Reuters

UPDATE 1-U.S. SEC backs ban on investor settlements erasing complaints from broker records

The U.S. Securities and Exchange Commission has approved a new brokerage industry rule to ban dispute settlements between securities firms and investors that require investors to agree to erase complaints from brokers' public records.

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

KAUZ

SEC votes to end $1 a share for some money funds

The lawyer for a suspected Nazi war crimes suspect says the 89-year-old Philadelphia man has died while awaiting extradition to Germany.

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Related Topix: Corporate / Securities Law, Law, National Urban League, Charitable Organizations, US News, Mutual Funds, Personal Finance

The Washington Post

Money-Market Funds Getting New Regime Aimed at Preventing Runs

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account.

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Related Topix: Mutual Funds, Personal Finance, Corporate / Securities Law, Law, Federated Investors, Financial Services, Investment Services, Business News

AmericanBankingNews.com

Patrick Industries major shareholder Sells $606,234 in Stock

Patrick Industries major shareholder Jeffrey L. Et Al Gendell sold 13,800 shares of Patrick Industries stock in a transaction dated Monday, July 21st.

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Related Topix: Manufacturing, Construction, Automakers, Patrick Industries, Retail, Corporate / Securities Law, Law

Tue Jul 22, 2014

NewsOK.com

SEC poised to end $1 a share for some money funds

Regulators are expected to vote Wednesday to end a longtime staple of the investment industry - the fixed $1 share price for money-market mutual funds - at least for some money funds used by big investors.

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

Reuters

U.S. SEC poised to adopt reforms for money market funds

U.S. regulators are expected to adopt rules on Wednesday that force "prime" money market funds used by large institutions to float their share price.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Four things you may not know about the Reliant-Commerce Union merger

As part of its merger with Reliant Bank of Brentwood, Commerce Union Bank intends to issue around $41.6 million in common stock to fund part of the all-stock transaction, according to a recent filing with the Securities and Exchange Commission.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Crocs shoots to increase profitability; CEO search goes on

Crocs Inc. will attempt to increase its profit margin by 4.5 percentage points using tactics that are part of a major restructuring announced Monday , just ahead of a quarterly earnings filing that revealed a steep decline in net income.

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Related Topix: Corporate / Securities Law, Law

Customer Interaction Solutions

The Securities Arbitration Law Firm of Klayman & Toskes Continues to...

The Securities Arbitration Law Firm of Klayman & Toskes, P.A. announced today that it is continuing to investigate WFG Investments and Securities America relating to the supervision of Matthew A. Bell and the sale of CodeSmart Holdings , Cubed, Inc. , StarStream and The Staffing Group, Ltd. .

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

Reuters

UPDATE 1-Investor relations partner settles U.S. SEC insider-trading charges

A New York-based investor relations executive on Tuesday agreed to settle civil charges that he illegally traded with inside information obtained while preparing press releases for company clients, U.S. regulators said.

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Related Topix: Corporate / Securities Law, Law

Sys-Con Media

Pretivm to File Preliminary Prospectus Supplement

The Supplement will be filed with the securities regulatory authorities in each of the provinces and territories of Canada except Quebec.

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Related Topix: Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, Silver Standard Resources, Mining, Canada,

Business Times

Finance professionals dislike dark pools

The US Securities and Exchange Commission , Commodity Futures Trading Commission, Federal Bureau of Investigation and New York attorney general are investigating the industry.

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Related Topix: Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, US News, US Federal Bureau of Investigation, Books, Flash Boys

Mon Jul 21, 2014

Quebec Chronicle-Telegraph

Peter Suderman on Dodd-Frank and the Age of Endless Regulation

In this age of endless regulation, it's hard to imagine that the legal and regulatory details of the law will ever truly be settled.

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Related Topix: US News, Corporate / Securities Law, Law

Wall Street Journal

Reforming the Proxy Advisory Racket

It's hard not to get cynical observing the characters who inhabit the District of Columbia.

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Related Topix: Corporate / Securities Law, Law

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