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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 | InvestmentNews

SEC charges investment adviser with fraud for not telling clients of fee arrangement with broker

The Securities and Exchange Commission on Tuesday charged a Houston-based investment adviser with fraud for not disclosing to clients that it was receiving compensation from a broker for investing their money in mutual funds recommended by that broker.

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

5 hrs ago | Channel3000

Insider trading case dismissed in Milwaukee

A federal judge has thrown out the case brought against Jilaine Bauer. Civil charges were filed in 2003 against Bauer by the U.S. Securities and Exchange Commission.

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

8 hrs ago | Housing Wire

SEC adopts tighter securitization, ratings agency rules

The U.S. Securities and Exchange Commission adopted tighter rules for asset-backed securities and credit rating agencies in order to better protect investors.

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

8 hrs ago | JD Supra

'Structured Finance Alert: Sec Adopts Final Regulation Ab II Rules'

On August 27, 2014, the Securities and Exchange Commission adopted final rules that significantly revise the existing regulations that govern disclosure requirements, offering processes and periodic reporting for asset-backed securities .

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Personal Finance

12 hrs ago | USA Today

Ex-House leader Eric Cantor joins Wall Street firm

The former House majority leader, who was stunningly defeated in a Virginia GOP primary, has joined Moelis & Company as vice chairman and managing director.

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Related Topix: US Politics, Eric Cantor, US News, Republican, US House of Representatives, Corporate / Securities Law, Law

16 hrs ago | Bloomberg

Russian Banking, Afren, SEC Whistle-Blower: Compliance

The U.K. is pressing European Union leaders to consider blocking Russian access to the Swift banking transaction system under an expansion of sanctions over the conflict in Ukraine, a British government official said.

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Related Topix: Corporate / Securities Law, Law

Mon Sep 01, 2014

GhanaWeb

Meridian Marshall to list on GAX

Barring any last minute hitches, the Ghana Alternative Market will see its first listing by the end of this year.

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Related Topix: Corporate / Securities Law, Law

Insurance Journal West

Tower Group Reports SEC Has Launched Probe

Tower Group International Ltd., which is in the process of being acquired by ACP Re Ltd., reported that it had received a letter, dated Aug. 28, 2014, from the Securities and Exchange Commission stating that the SEC is conducting an investigation and attaching a subpoena for various documents.

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Related Topix: Corporate / Securities Law, Law

NH Insider

NHDP - Legal Documents Show Brown Endorsed Outsourcing Strategy

Scott Brown's signature on legal documents filed with the Securities and Exchange Commission just two days before announcing his run for Senate, prove absolutely false Brown's claim that he had no knowledge that a company paying him more than a quarter million dollars, Kadant, Inc., had a record of outsourcing and sending American jobs overseas.

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Related Topix: Scott Brown, US News, US Senate, Republican, Outsourcing, Corporate / Securities Law, Law, Manufacturing, Industrial Machines, Paper, Kadant, Democrat, Senator Jeanne Shaheen, US Politics, Prison

MarketWatch

Chuck Jaffe: Is your 'alternative' fund a ticking time bomb?

The label "alternative" seems to cover countless strategies and, technically, can be applied to anything that falls outside of the mainstream investment categories of stocks, bonds and cash.

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

Examiner.com

SEC comes down on Breached Companies

If you're wondering if businesses, who've been targets of cybercrime, have been properly handling the fallout, you have company: The U.S. Securities and Exchange Commission .

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

Sun Aug 31, 2014

The Peninsula

Alibaba share sale by this month

HONG KONG: Chinese e-commerce company Alibaba Group Holding Ltd is planning to launch its New York stock market debut in the week of September 8, a person briefed on the matter said on Saturday.

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

Sat Aug 30, 2014

Business Journal

Inside Roche's $8.3 billion bid for InterMune

Yet Brisbane-based InterMune still was able to get more than Roche's original bid, according to a Securities and Exchange Commission document filed Friday.

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Related Topix: Biotech, InterMune, Medicine, Healthcare Industry, Corporate / Securities Law, Law, Genentech, Startups, Healthcare Law

Politico

Fore! Feds hunt fraud at the golf course

This summer the Securities and Exchange Commission has brought insider trading cases that center on the relationships between golfing buddies and how their chitchat in the tee box or at the 19th hole turned into lucrative and illegal trading bonanzas.

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Related Topix: Corporate / Securities Law, Law, American Superconductor, Manufacturing, Electronics, KPMG L.L.P, Financial Services, Accounting, Criminal Defense Law

AmericanBankingNews.com

Parametric Sound Corp major shareholder Unloads $1,272,456 in Stock

Parametric Sound Corp major shareholder Carmine J. Bonanno sold 185,760 shares of the company's stock in a transaction dated Thursday, August 28th.

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Related Topix: Corporate / Securities Law, Law

AmericanBankingNews.com

Masonite International Corp major shareholder Oaktree Capital Group...

Masonite International Corp major shareholder Oaktree Capital Group Holdings unloaded 504,778 shares of Masonite International Corp stock on the open market in a transaction that occurred on Wednesday, August 27th.

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Related Topix: Construction, Masonite International, Corporate / Securities Law, Law

VentureBeat

Floodgate closes its fifth fund with more of the same

That's exactly what seed-stage venture firm Floodgate is thinking as it closes its fifth and new fund.

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

The Washington Post

Alibaba Said to Push Back Start of IPO Investor Meetings

Alibaba Group Holding Ltd. is postponing the start of investor meetings for its initial public offering by about a week to answer questions posed by the U.S. Securities and Exchange Commission, according to a person with knowledge of the matter.

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Related Topix: Alibaba, Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, World News, China, Business News

Washington Times

Legal center's amici brief challenges N.Y., Tenn. state Republicans in SEC pay-to-play lawsuit

A campaign-finance watchdog group filed a brief in federal court Friday to beat back an attempt by New York and Tennessee Republicans to stymie pay-to-play restrictions.

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Related Topix: Corporate / Securities Law, Law

Fri Aug 29, 2014

Forbes.com

SEC Sanctions Donald Brownstein's Hedge Fund Over Conflicts Of Interest

I spend most of my time digging into Wall Street, hedge funds and private equity firms, looking for both the good and the bad.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Business News

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