Securities and Exchange Commission News

The U.S. Securities and Exchange Commission is debating whether to push fraudsters engaged in "egregious misconduct" into conceding wrongdoing after an SEC enforcement action, in a move away from longtime policy, the Financial Times reported Wednesday.

In recent years the U.S. Department of Labor, the Securities and Exchange Commission, and the General Accountability Office have all advised companies sponsoring retirement plans that conflicts of interest related to investment consultants to plans are widespread and that these conflicts have resulted in reduced returns, as well as higher fees for ... (more)

David F. Bahr, 54, admitted that he and others attempted to artificially inflate the price of shares of iTrackr, a penny stock.

Currently, under a longstanding practice, the SEC allows companies and individuals to settle charges without admitting or denying wrongdoing.

CSO - Wall Street plans to hold a simulated cyberattack against equity markets this month that experts hope will set an example of how industries should test their defenses against assailants.

As insurance products become more complex, the industry needs to redouble its efforts to fully disclose their risks, a federal regulator said today.

Concern that American stock markets have become more susceptible to split-second crashes due to computerization isn't supported by the data, a Securities and Exchange Commission official said.

Unexplained rapid price drops in single stocks have generally been triggered by human error, not nefarious trading activity or high-speed trading algorithms gone wild, an official at the U.S. Securities and Exchange Commission said on Tuesday.

First Solar, Inc. today announced the closing of an underwritten public offering of 9,747,000 shares of its common stock, including 1,247,000 shares issued and sold as a result of the exercise of substantially all of the underwriters' over-allotment option on June 17, 2013, at a public offering price of $46.00 per share.

The Republic Bank of Trinidad and Tobago has displaced the Social Security and National Insurance Trust as the largest institutional shareholder in HFC Bank, raising fears of a possible takeover and subsequent rebranding of one of the country's most established indigenous banks.

The Securities and Exchange Commission just announced the issuance of the agency's second Dodd-Frank whistleblower award - serving as a reminder to in-house counsel to bolster their companies' own internal reporting programs, attorneys say.

DISH Network Corporation today announced the expiration of the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act in connection with the tender offer by DISH Acquisition Holding Corporation, a wholly-owned subsidiary of DISH, to purchase all outstanding shares of Class A Common Stock of Corporation , including any shares of Class ... (more)

Patrick Craine, a partner with the law firm Bracewell & Giuliani and former attorney in the SEC's Fort Worth, Texas, office, was hired to augment the company's regulatory and legal compliance efforts, Chesapeake's new chief executive officer, Doug Lawler, said in a statement.

The nation's securities regulator is under brand new pressure to kick some life into small capitalization public companies and the lackluster IPO market.

CDW Corp. once again plans to join the ranks of publicly traded companies. The computer parts and electronics retailer filed an initial public offering Friday with the U.S. Securities and Exchange Commission, aiming to raise $738 million by selling stock.

Ronald O. Perelman's attempt to take Revlon private in 2009 resulted in an $850,000 federal penalty and $37 million in settlements of private lawsuits.

Once again, TIAA-CREF has denied its shareholders the right to have their voices heard through the ballot box at this year's shareholder meeting.

What is an index? It's hard to say these days. An index used to be a broad measure of market value.

Weyerhaeuser Company announced today that it intends to offer, subject to market and other conditions, 28,000,000 of its common shares in a registered public offering, subject to market and other customary conditions.

A look back at some of the biggest small business and start-up stories from the past week, with a focus on Washington.