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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 | KAUZ

SEC votes to end $1 a share for some money funds

The lawyer for a suspected Nazi war crimes suspect says the 89-year-old Philadelphia man has died while awaiting extradition to Germany.

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Related Topix: Corporate / Securities Law, Law, National Urban League, Charitable Organizations, US News, Mutual Funds, Personal Finance

6 hrs ago | The Washington Post

Money-Market Funds Getting New Regime Aimed at Preventing Runs

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account.

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Related Topix: Mutual Funds, Personal Finance, Corporate / Securities Law, Law, Federated Investors, Financial Services, Investment Services, Business News

11 hrs ago | AmericanBankingNews.com

Patrick Industries major shareholder Sells $606,234 in Stock

Patrick Industries major shareholder Jeffrey L. Et Al Gendell sold 13,800 shares of Patrick Industries stock in a transaction dated Monday, July 21st.

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Related Topix: Manufacturing, Construction, Automakers, Patrick Industries, Retail, Corporate / Securities Law, Law

Tue Jul 22, 2014

NewsOK.com

SEC poised to end $1 a share for some money funds

Regulators are expected to vote Wednesday to end a longtime staple of the investment industry - the fixed $1 share price for money-market mutual funds - at least for some money funds used by big investors.

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

Reuters

U.S. SEC poised to adopt reforms for money market funds

U.S. regulators are expected to adopt rules on Wednesday that force "prime" money market funds used by large institutions to float their share price.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Four things you may not know about the Reliant-Commerce Union merger

As part of its merger with Reliant Bank of Brentwood, Commerce Union Bank intends to issue around $41.6 million in common stock to fund part of the all-stock transaction, according to a recent filing with the Securities and Exchange Commission.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Crocs shoots to increase profitability; CEO search goes on

Crocs Inc. will attempt to increase its profit margin by 4.5 percentage points using tactics that are part of a major restructuring announced Monday , just ahead of a quarterly earnings filing that revealed a steep decline in net income.

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Related Topix: Corporate / Securities Law, Law

Customer Interaction Solutions

The Securities Arbitration Law Firm of Klayman & Toskes Continues to...

The Securities Arbitration Law Firm of Klayman & Toskes, P.A. announced today that it is continuing to investigate WFG Investments and Securities America relating to the supervision of Matthew A. Bell and the sale of CodeSmart Holdings , Cubed, Inc. , StarStream and The Staffing Group, Ltd. .

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

Reuters

UPDATE 1-Investor relations partner settles U.S. SEC insider-trading charges

A New York-based investor relations executive on Tuesday agreed to settle civil charges that he illegally traded with inside information obtained while preparing press releases for company clients, U.S. regulators said.

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Related Topix: Corporate / Securities Law, Law

Sys-Con Media

Pretivm to File Preliminary Prospectus Supplement

The Supplement will be filed with the securities regulatory authorities in each of the provinces and territories of Canada except Quebec.

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Related Topix: Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, Silver Standard Resources, Mining, Canada,

Business Times

Finance professionals dislike dark pools

The US Securities and Exchange Commission , Commodity Futures Trading Commission, Federal Bureau of Investigation and New York attorney general are investigating the industry.

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Related Topix: Corporate / Securities Law, US Securities and Exchange Commission, Law, Financial Services, US News, US Federal Bureau of Investigation, Books, Flash Boys

Mon Jul 21, 2014

Quebec Chronicle-Telegraph

Peter Suderman on Dodd-Frank and the Age of Endless Regulation

In this age of endless regulation, it's hard to imagine that the legal and regulatory details of the law will ever truly be settled.

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Related Topix: US News, Corporate / Securities Law, Law

Wall Street Journal

Reforming the Proxy Advisory Racket

It's hard not to get cynical observing the characters who inhabit the District of Columbia.

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Related Topix: Corporate / Securities Law, Law

Reuters

U.S. SEC taps new chief economist from University of Florida

The U.S. Securities and Exchange Commission on Monday announced it has tapped a University of Florida professor to serve as the agency's new chief economist.

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Related Topix: Corporate / Securities Law, Law, University of Florida, US Securities and Exchange Commission, Financial Services, North Carolina, University of North Carolina Chapel Hill, University of Pennsylvania

InvestmentNews

Securities America buying insurance-based B-D

Securities America Inc. said Monday it had reached an agreement to acquire certain assets of Sunset Financial Services Inc., a broker-dealer owned by Kansas City Life Insurance Co.

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Related Topix: Insurance, Financial Services, Kansas City Life Insurance, Corporate / Securities Law, Law, Sales

InvestmentNews

Congressman explains why he's trying to stop SEC fiduciary rule

In his Oklahoma Senate campaign, Republican Rep. James Lankford said he doesn't hear from voters about raising investment advice standards for brokers.

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Related Topix: Corporate / Securities Law, Law, US News, US Politics, Representative James Lankford, Republican, US House of Representatives

Federal Computer Week

SEC plans a makeover for EDGAR

What: The Securities and Exchange Commission has a long-term goal of modernizing its online public company filing system called EDGAR .

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Related Topix: Corporate / Securities Law, Law

West Australian

BNP case spurs calls for whistleblower incentives in banking

The U.S. Securities and Exchange Commission has scored big enforcement successes and delivered millions of dollars in awards to whistleblowers under a programme from the 2010 Dodd-Frank overhaul of Wall Street.

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

Benzinga

Valeant Complains to SEC Regarding Allergan Claims

Valeant Pharmaceuticals International, Inc. has contacted both the Autorite des marches financiers in Quebec and the U.S. Securities and Exchange Commission regarding Allergan Inc.'s apparent attempt to mislead investors and manipulate the market for Valeant common shares by continuing to make false and misleading statements regarding Valeant's ... (more)

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Related Topix: Allergan, Biotech, Corporate / Securities Law, Law, Valeant Pharmaceuticals International, US Securities and Exchange Commission, Financial Services

Bangkok Post

SEC to allow listing of foreign firms

Thailand will allow foreign companies to sell shares on the Thai stock exchange, both in an initial public offering and dual offering to enhance the Thai market's competitiveness.

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Related Topix: Corporate / Securities Law, Law

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