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Securities and Exchange Commission News

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

3 hrs ago | Detroit Free Press

SEC opens investigation over GM ignition switch recall

General Motors ignition assembly parts, including the parts affected under the recalls, being inspected, packaged and shipped Thursday, April 17, 2014, at the GM Customer Care & Aftersales Plant in Burton, Michigan.

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

4 hrs ago | Daily Journal

GM says securities regulators are probing recall

U.S. securities regulators are looking into General Motors' delayed recall of more than 2 million cars with a deadly ignition switch problem.

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Related Topix: Automakers, General Motors, Corporate / Securities Law, Law

4 hrs ago | ClickOnDetroit

General Motors GM Renaissance Center digital sign closeup

U.S. securities regulators are looking into General Motors' delayed recall of more than 2 million cars with a deadly ignition switch problem.

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Related Topix: Automakers, General Motors, Corporate / Securities Law, Law

6 hrs ago | Market Wire

Daybreak Oil and Gas, Inc. Drills Its Eighth Consecutive Successful Oil Well in Kentucky

The Gerald Grove H-9 oil well was drilled to a measured depth of 5,053 feet and a true vertical depth of 1,376 feet.

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Related Topix: Lawrence County, KY, Corporate / Securities Law, Law

11 hrs ago | DailyGame

Parametric Sound Announces Pricing of Common Stock Offering

The Company has also granted the underwriters an option to purchase up to 600,000 additional shares of its common stock at the public offering price to cover over-allotments, if any.

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Related Topix: The, Video Games, Deep Silver, Corporate / Securities Law, Law, X360

15 hrs ago | AmericanBankingNews.com

Transenterix major shareholder Aisling Capital Iii Lp Buys 1,037,767 Shares

Transenterix major shareholder Aisling Capital Iii Lp bought 1,037,767 shares of Transenterix stock on the open market in a transaction that occurred on Monday, April 21st.

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Related Topix: TransEnterix, Corporate / Securities Law, Law

Wed Apr 23, 2014

Albany Times Union

Plug Power looking to raise $100M

A view of the outside of Plug Power in Latham, NY on Wednesday, Nov. 10, 2010. Fuel cell manufacturer Plug Power of Latham is once again taking advantage of soaring investor interest to sell stock, this time seeking to raise $100 million later this month.

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Related Topix: Plug Power, Electronics, Latham, NY, Sales, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services

West Australian

Qualcomm faces China bribery allegations from U.S. regulator

Leading mobile chipmaker Qualcomm said on Wednesday it could face a civil action from U.S. authorities over alleged bribery of officials associated with state-owned companies in China.

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Related Topix: Qualcomm, Corporate / Securities Law, Law, Hewlett Packard

Reuters

Ex-Nvidia manager settles U.S. SEC charges on illegal tips

A former accounting manager for Nvidia Corp has settled with the U.S. Securities and Exchange Commission over allegations he leaked non-public information about the chipmaker that allowed a group of Wall Street analysts to make millions through illegal trades, the SEC announced on Wednesday.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Second Circuit Court of Appeals, US News

Reuters

Bipartisan group slams U.S. SEC for resisting email privacy reform

A coalition of liberals and conservatives is lashing out at the U.S. Securities and Exchange Commission for pushing back against legislation that would force government agencies to get warrants before they access the email of people under investigation.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Privacy, US Politics, US News, Barack Obama

Amarillo.com

SEC filing details pending $21.4M Hastings buyout

Hastings Entertainment began considering selling itself in 2012 as one of several alternatives to a forecasted future of continued losses, according to its latest U.S. Securities and Exchange Commission filing.

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Related Topix: Corporate / Securities Law, Law, Retail, Hastings Entertainment, 2012, Gliese Games, Video Games, US Securities and Exchange Commission, Financial Services

Insurance News Net

Alternative Mutual Funds To Get SEC Test For Leverage, Liquidity

Alternative mutual funds will be examined by the Securities and Exchange Commission to assess whether managers are complying with leverage and liquidity rules... Insiders know more, are better prepared and generally more successful.

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Related Topix: Corporate / Securities Law, Law

Securities Industry

ACE and IBM Join to Offer Hedge Funds New CyberSecurity and Compliance Solutions

In this age of cyber-terrorism and the need for increased compliance and security, hedge funds are now being offered a new suite of products from ACE IT and IBM.

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Related Topix: Corporate / Securities Law, Law, Science / Technology, Computer Security

AlertNet

Democrats urge U.S. SEC to press ahead on conflict minerals rule

A trader weighs gold nuggets at an illegal mine-pit in Walungu territory of South-Kivu province near Bukavu, April 5, 2014 REUTERS/Kenny Katombe WASHINGTON, April 22 - Twelve lawmakers are urging U.S. regulators to implement a new rule requiring companies to disclose if their products contain "conflict minerals" from Africa's Democratic Republic of ... (more)

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Related Topix: Corporate / Securities Law, Law, Democratic Republic of the Congo, World News, Africa, US Securities and Exchange Commission, Financial Services

Sydney Morning Herald

Telstra executive's wife linked to $300k Autohome acquisition

There is no allegation Mr Hon engaged in any wrong doing or that his departure was in any way linked to the transaction.

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Related Topix: Transaction Wireless, World News, China, Asia, Marketing, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services

Tue Apr 22, 2014

Rocky Mount Telegram

Employee union takes pension complaints to feds

The union representing tens of thousands of North Carolina state workers said Tuesday it filed a complaint with the federal Securities and Exchange Commission over how State Treasurer Janet Cowell is managing the $86 billion pension system.

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Related Topix: Corporate / Securities Law, Law

Reuters

Texas businessman Wyly takes stand in $550 million securities trial

Texas businessman Sam Wyly took the stand in his civil trial in New York on Tuesday and denied U.S. Securities and Exchange Commission claims that he and his brother used a complex network of offshore trusts to conceal years of stock trades and net $550 million in undisclosed profit.

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

Sys-Con Media

XBRL Us Gaap Pension Analyzer Identifies Significant Errors in XBRL Sec Filings for Q1 2014

A review of XBRL filings in the most recent quarter reveals that 32% of public companies had errors in their pension footnotes resulting in inaccurate data that is inconsistent with the HTML version of the company's financial statements.

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Related Topix: Non-Profit, Corporate / Securities Law, Law

KNDU

Kennewick family farm seeking public investors

A big family farm based in Kennewick is seeking public investors. Taggares Agriculture recently filed with the Securities and Exchange Commission for an initial public stock offering to raise up to $48 million.

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Related Topix: Corporate / Securities Law, Law

MarketWatch

Valeant's ravenous buyout appetite reappears with Allergan proposal

On an acquisition tear of late, Valeant Pharmaceuticals appears to be mounting another hostile takeover, fixing its sights this time on Botox-maker Allergan Inc. with activist investor William Ackman providing some of the ammunition.

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Related Topix: Allergan, Biotech, Corporate / Securities Law, Law

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