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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 | Bloomberg

SEC Said to Weigh Shining Light on Brokers' Stock Routing

The U.S. Securities and Exchange Commission is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed, a proposal that may address complaints that the decisions are sometimes made without the client's best interests at heart.

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Related Topix: Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, T Rowe Price Group, Investment Services

6 hrs ago | JD Supra

D.C. Circuit Rules A Provision Of The SEC Conflict Minerals Rule Violates The First Amendment

On April 14, 2014, the D.C. Circuit Court of Appeals in Nat'l Ass'n of Mfrs. v. SEC , 2014 BL 102614, D.C. Cir., No.

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Related Topix: Corporate / Securities Law, Law, District of Columbia Circuit Court of Appeals, US News, Congo, Africa

10 hrs ago | AmericanBankingNews.com

Sears Hometown and Outlet Stores major shareholder Edward S. Lampert Purchases 173,574 Shares

Sears Hometown and Outlet Stores major shareholder Edward S. Lampert purchased 173,574 shares of Sears Hometown and Outlet Stores stock on the open market in a transaction that occurred on Thursday, April 17th.

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Related Topix: Retail, Sears, Corporate / Securities Law, Law

Fri Apr 18, 2014

AmericanBankingNews.com

Insider Buying: PMC Commercial Trust major shareholder Purchases 22,300 Shares of Stock

PMC Commercial Trust major shareholder Cim Service Provider, Llc acquired 22,300 shares of the company's stock in a transaction that occurred on Thursday, April 17th.

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Related Topix: Corporate / Securities Law, Law

KTOO-TV Juneau

BP Exec Who Led Cleanup Settles On Charges Of Insider Trading

BP Mobile Incident Commander Keith Seilhan talks with oil cleanup workers in Gulf Shores, Ala., in July 2010.

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Related Topix: Corporate / Securities Law, Law, Oil Spill

Front www.keysnet.com

An artist depiction of what was to be a Cay Clubs condominium development in Islamorada.

Attorneys representing Cay Clubs executives who are the targets of a federal Securities and Exchange Commission fraud complaint and investigation want a judge to throw out statements given by two former company lawyers.

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Related Topix: Criminal Defense Law, Law, Corporate / Securities Law, Mortgage, Personal Finance

Lincoln Daily News

China's new breed of whistleblowers takes on big business

Chinese lawyer Hao Junbo wants to make you rich if you're a whistleblower after a bounty.

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Related Topix: Biotech, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Medicine, GlaxoSmithKline, Healthcare Industry

MarketWatch

Robert Powell: Can the SEC fix target-date funds?

Target-date mutual funds, TDFs for short, are perhaps the most widely held but least understood packaged-for-retirement investment in the world.

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

Forbes.com

SEC Charges TelexFree With Fraud, Alleges $1.1 Billion Pyramid Scheme

The Securities and Exchange Commission has announced it filed charges on April 15, 2014, against multiple companies under the TelexFree umbrella, accusing the companies of orchestrating a massive pyramid scheme that targeted Dominican and Brazilian immigrants and took in more than $1 billion from investors worldwide.

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Related Topix: Corporate / Securities Law, Law, Science / Technology, VoIP, Business News

Thu Apr 17, 2014

InvestmentNews

Cybersecurity gets the SEC's attention as agency plans to query advisers on safeguards

At a time when an online threat is panicking Internet users, the Securities and Exchange Commission has provided financial advisers with a detailed checklist of what it expects firms to provide in terms of cybersecurity protection.

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Related Topix: Corporate / Securities Law, Law

Daily Times

SECP registers HAP under halal products, services

KARACHI: Halal Products and Services Association of Pakistan has been incorporated with Securities and Exchange Commission of Pakistan under the Companies Ordinance, 1984 vide- incorporation number 008783.

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Related Topix: World News, Pakistan, Corporate / Securities Law, Law

The Campbell Reporter

China's Twitter rival, Weibo, scores in IPO

APRIL 17: China's Weibo CEO Charles Chao stands with Robert Greifeld, Nasdaq CEO, moments after Weibo began trading on the Nasdaq exchange under the ticker symbol WB on April 17, 2014 in New York City.

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

Brandon Sun

Ex BP-employee settles US insider-trading charges related to 2010 Gulf oil spill

A former BP employee who was a co-ordinator during the 2010 oil spill in the Gulf of Mexico has agreed to settle federal charges of using confidential information on the seriousness of the spill to profit illegally from trading in BP stock.

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Related Topix: Oil Spill, Corporate / Securities Law, Law

Star-Telegram.com

BP Manager Allegedly Learned Scale of Spill, Dumped Stock

Federal securities investigators say that the man that BP initially put in charge of cleaning up the oil from its massive 2010 Macondo well blowout in the Gulf of Mexico used nonpublic information to safely dump $1 million of his family's company stock before the share price nosedived.

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Related Topix: Corporate / Securities Law, Law

Reuters

Ex-BP employee settles SEC insider-trading oil spill case

A former 20-year veteran of BP plc will pay a civil penalty to settle civil charges alleging he used non-public information during the 2010 Deepwater Horizon oil spill to commit insider-trading, U.S. regulators said on Thursday.

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Related Topix: Oil Spill, Corporate / Securities Law, Law

Trinidad Guardian

Should Phoenix Park IPO be delayed?

On March 29, speaking to reporters during a break in the Eastern Credit Union's 40th annual general meeting at the La Joya Sporting Complex in St Joseph, Finance Minister Larry Howai said three things that are important to the timing of the Phoenix Park initial public offering : Changes would be made to the company's IPO allocation formula because ... (more)

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

KFVS12

Former Yahoo executive received $58 million parting gift

Former Yahoo Chief Operating Officer Henrique De Castro left the company with a severance package worth $58 million, according to a regulatory document filed Wednesday with the Securities and Exchange Commission.

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Related Topix: Corporate / Securities Law, Law

San Diego NewsCape

SEC Charges San Diego-Based Investment Adviser

The Securities and Exchange Commission announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors and breaching their fiduciary duties to clients.

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Related Topix: Corporate / Securities Law, Law

Wed Apr 16, 2014

Law.com

Cybersecurity Roundtable and Disclosure

On Dec. 19, 2013, Target Corporation disclosed that approximately 40 million credit and debit card account numbers had been hacked from its system between Nov. 27 and Dec. 15, 2013.

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Related Topix: Retail, Target, Computer Security, Science / Technology, Corporate / Securities Law, Law, US Politics, US News, US Senate, Senator Jay Rockefeller

Market Wire

Poly Shield Technologies Inc., Announces Resignation of Director and President

Poly Shield Technologies Inc., announces that James Pakulis has resigned as President and director of the Company.

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Related Topix: Corporate / Securities Law, Law

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