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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 | Truthdig

Should Companies Have to Pay Taxes?

Reading companies' annual reports to the Securities and Exchange Commission is a reliable cure for insomnia.

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

2 hrs ago | JD Supra

Federal Appeals Court Says Dodd-Frank Does Not Protect Overseas Whistleblowers

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.

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Related Topix: Second Circuit Court of Appeals, US News, Siemens AG, Corporate / Securities Law, Law

6 hrs ago | CFO

SEC Dishing Out $300,000 Whistleblower Award to Internal Auditor

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.

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Related Topix: Corporate / Securities Law

10 hrs ago | AmericanBankingNews.com

Insider Buying: Growblox Sciences major shareholder Acquires 46,625 Shares of Stock

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.

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Related Topix: Corporate / Securities Law, Law

14 hrs ago | Business Wire

Press release distribution, EDGAR filing, XBRL, regulatory filings

A detailed list of rating ... )--Associa, the nation's largest community association management firm, opens its doors at the Client Shared Services Center to feature special guest, Congressman S... )--The APWG reports in its new Phishing Activity Trends Report that new online payment services and crypto-currency sites are being targeted by ... (more)

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Related Topix: Semiconductors, Microchip Technology, Electronics, Corporate / Securities Law, Law, Home, Mortgage, Personal Finance

Thu Aug 28, 2014

Dallas Morning News

Two former ACS execs to pay nearly $675,000 settlement in SEC accounting probe

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.

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Related Topix: Corporate / Securities Law, Law, Xerox, ACS - Affiliated Computer Services, Inc.

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

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

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

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

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

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

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

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

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

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