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Securities and Exchange Commission

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Securities and Exchange Commission News

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

4 hrs ago | National Center for Public Policy Res...

More on Comcast...

Why Does Comcast Refuse to Tell Shareholders How NBC, MSNBC and CNBC Reduce the Risk of Libel Suits? Company Brought In Outside Law Firm to Help It Fight Shareholder Who Simply Asked for a Report on Fact-Checking Procedures at NBC, MSNBC and CNBC Comcast CEO to Be Asked How Its Networks Make Certain Its Broadcasts are Accurate, and Why It is ... (more)

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Related Topix: Cable & Satellite, Comcast, The National, Entertainment, Television, Corporate / Securities Law, Law

8 hrs ago | PakTribune

SECP registers 327 new companies

ISLAMABAD: The Securities and Exchange Commission of Pakistan registered 327 new limited liability companies during April this year, raising the corporate portfolio to 62,203 companies.

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Related Topix: Pakistan, Corporate / Securities Law, Law, Asia Travel, Pakistan Travel

13 hrs ago | Indianapolis Business News

Firms ladle trips, car allowances on top of rich pay packages

Senior executives at Indiana's public companies last year received, on average, more in perks than the typical Hoosier earned all year, IBJ found after reviewing Securities and Exchange Commission documents for more than 60 Indiana companies.

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Related Topix: Corporate / Securities Law, Law

17 hrs ago | Bloomberg

SAC Says Cooperation With U.S. No Longer - Unconditional'

SAC Capital Advisors LP, Steven Cohen 's $15 billion hedge-fund firm, told investors it's no longer cooperating unconditionally with the U.S. government's insider-trading investigation.

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

Fri May 17, 2013

Fox News

NYSE Busts Trades as Anadarko's Stock Falls to a Penny

A sharp drop that drove Anadarko Petroleum Corp.'s to a penny in the last second of trading Friday exposes a vulnerability in trading rules adopted last month to curb sharp stock swings.

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Related Topix: Anadarko Petroleum, Oil & Gas, NYX, Inc, Manufacturing, Automakers, Media, Computers, FactSet Research Systems, IT Services, Corporate / Securities Law, Law, Business News

CNN

Senators: SEC must get tough with credit rating agencies

Editor's note: Al Franken, a Democrat, is a U.S. senator from Minnesota. Roger Wicker, a Republican, is a U.S. senator from Mississippi.

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Related Topix: Corporate / Securities Law, Law, Senator Al Franken, US News, US Senate, Republican, US House of Representatives, Democrat, US Politics, Senator Roger Wicker, Roger Wicker, Representative Keith Ellison, Mortgage, Personal Finance, Opinion

The Nation

Kingdom's asset management sector ranked No 3 in world

Thailand's asset-management industry has been voted third-best in the world, according to a global investor survey revealed by the Securities and Exchange Commission.

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

FiveThirtyEight

DealBook: Investor Group Asks S.E.C. to Intervene on Access to Shareholder Vote Totals

The Council of Institutional Investors has asked the Securities and Exchange Commission to intervene after the main company that provides real-time tabulations on shareholder votes stopped giving this information to the groups that sponsor proposals.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Parker: SEC probe of Van Gilder, Delta came during investigation of Mariner Energy

The Securities and Exchange Commission's insider-trading investigation of former insurance executive Michael Van Gilder and former Delta Petroleum CEO Roger Parker began in the midst of the SEC's probe into insider trading at Mariner Energy Inc.

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Related Topix: Parker, CO, Corporate / Securities Law, Law, Delta Petroleum, Energy, Oil & Gas, me.com, Startups

TheStreet.com

Top Insider Trades: DXM, SPB, AMTD, GHDX

It is a victory for common sense. Tracking the trading behavior of company executives, directors and large shareholders in the stocks of firms they're registered in as "insiders" has proven to be profitable, according to both academic studies and the experience of professional investors.

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Related Topix: Financial Markets, Corporate / Securities Law, Law, Business News

MarketWatch

Regulators target exchanges ahead of record fines

Financial regulators are taking a harder line on exchanges amid concerns over their ability to police the markets they operate, as the SEC prepares to hit one with a record penalty.

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

Forbes.com

Snuff the SEC

If regulation-hating conservatives were serious about shrinking government, they should go whole hog and press for the elimination of the Securities and Exchange Commission .

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Related Topix: Corporate / Securities Law, Law, Healthcare Law, US News, Bernie Madoff, Social Security, Personal Finance

WebCPA

KPMG Tops Q1 SEC Audit Wins

Big Four firm KPMG led the pack among large and national firms in the market for Securities and Exchange Commission audit clients in the first quarter of 2013, with a net of seven new clients.

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Related Topix: Corporate / Securities Law, Law, Energy, PNM Resources

Thu May 16, 2013

Business Journal

Orchestrate raises $2.8 million

Orchestrate Inc. has raised nearly $2.8 million from investors, according to a filing with the Securities and Exchange Commission .

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Related Topix: Corporate / Securities Law, Law

Fox News

White says SEC not now writing political spending rule

The head of the Securities and Exchange Commission told lawmakers on Thursday that her agency, despite pressure from liberal groups, is not currently drafting a rule that would call for public companies to disclose their political spending.

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Related Topix: Corporate / Securities Law, Law, US News, Tax, US Politics, Barack Obama, Republican, US House of Representatives, Jeb Hensarling, Business News

MarketWatch

Why Fidelity and Vanguard are afraid of politics

Mutual funds are caught in the middle of one of the most contentious issues in American politics: Spending by big business to gain influence in Washington.

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

Denver Post

Former Delta CEO says insider tips were to be confidential and unused

Admitted illegal inside trader Michael Van Gilder broke a promise not to act on information that billionaire Kirk Kerkorian was about to buy into Delta Petroleum, its former CEO says in court papers.

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Related Topix: Delta Petroleum, Energy, Oil & Gas, Economics News, Bankruptcy, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services

Business Journal

Crunch time at the SEC

Many of Tampa Bay's smaller public companies pushed the deadline to file quarterly financial reports with the U.S. Securities and Exchange Commission.

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

Reuters

SEC says new settlements end 'Golden Goose' insider trading case

The U.S. Securities and Exchange Commission on Wednesday said it has reached settlements with the last two defendants in an insider trading probe known as the "Golden Goose" case, which had been based on secrets stolen from an executive at a public relations firm.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, TakeTwo Interactive Software, Video Games, Software

Wed May 15, 2013

Mother Jones

Why Won't the SEC Rein In the Firms That Tanked America's Economy?

Before the crisis, the credit-rating agencies that evaluate the relative risk of investment products offered by Wall Street banks, routinely assigned their highest ratings to bonds built out of junky, high-risk mortgages.

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Related Topix: Corporate / Securities Law, Law, Financial Markets, Home, Mortgage, Personal Finance, Senator Al Franken, US News, US Senate, Democrat, US Politics, Immigration Reform