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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 | Canada NewsWire

B.C. securities regulator alleges that Victoria lawyer and Lumby...

BCSC staff maintains that Morrice and Byrne worked together to create and sell shell companies, and were purportedly involved with three mining companies that were shell companies with minimal assets and no active business: According to the notice, Morrice created and maintained the shells by facilitating their incorporation, opening their bank ... (more)

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Related Topix: Canada, Corporate / Securities Law, Law

4 hrs ago | JD Supra

SEC Rulings Remind Whistleblowers of the Importance of Procedure

You will never understand bureaucracies until you understand that for the bureaucrats procedure is everything and outcomes are nothing.

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Related Topix: Corporate / Securities Law, Law, Employment / Labor Law

9 hrs ago | ABC News

Citi Says SEC Has Closed Probe of Mortgage Bonds

Citigroup Inc. says it's been told by the Securities and Exchange Commission that the agency has completed its investigation of the bank's conduct regarding mortgage bonds and won't bring further enforcement action.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Personal Finance, Banking, Financial Services, Citigroup, Financial Markets

10 hrs ago | Bellingham Herald

Citi says SEC has closed probe of mortgage bonds

The SEC has filed a series of cases against Citigroup and other big Wall Street banks in recent years over their sales of securities backed by risky mortgages ahead of the 2008 financial crisis.

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Related Topix: Corporate / Securities Law, Law, Home, Mortgage, Personal Finance, Banking, Financial Services, Financial Markets, Citigroup

10 hrs ago | Brandon Sun

Citigroup says SEC has closed its probe of mortgage securities, no new enforcement action

Citigroup Inc. says it's been told by the Securities and Exchange Commission that the agency has completed its investigation of the bank's conduct regarding mortgage bonds and won't bring further enforcement action.

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Related Topix: Corporate / Securities Law, Law, Home, Banking, Mortgage, Financial Services, Citigroup, Personal Finance, Financial Markets

10 hrs ago | Detroit News

Federal judge: Kwame Kilpatrick, frat brother must pay SEC $700K over lavish gifts, trips

A federal judge ordered former Mayor Kwame Kilpatrick and his fraternity brother to pay almost $700,000 to the Securities and Exchange Commission for receiving extravagant gifts from a businessman while serving on the city's pension funds.

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Related Topix: Corporate / Securities Law, Law, Detroit, MI

11 hrs ago | Business Journal

C1 prices stock for IPO

C1 Financial Inc. moved closer to being a publicly traded company, as it spelled out how many shares of stock it will sell and an expected price range for an upcoming initial public offering.

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

15 hrs ago | Santa Cruz Sentinel

Jeffrey Scharf, Everybody's Business: SEC finally approves money market mutual funds regs

Six years after the onset of the 2008 financial crisis and four years after enactment of Dodd-Frank financial reform legislation, the Securities and Exchange Commission finally adopted new regulations covering the $2.6 trillion invested in money market mutual funds.

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

Thu Jul 31, 2014

AmericanBankingNews.com

Insider Buying: Alta Partners Viii, L.P. Acquires 299,559 Shares of Immune Design Corp Stock

Immune Design Corp major shareholder Alta Partners Viii, L.P. acquired 299,559 shares of the stock on the open market in a transaction that occurred on Tuesday, July 29th.

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Related Topix: Corporate / Securities Law, Law

Reuters

SEC launched extensive probe to identify sources in Reuters stories

A U.S. Securities and Exchange Commission watchdog conducted an extensive, months-long investigation to find out who had leaked information that appeared in two Reuters stories published last autumn, but it was unable to identify the sources, according to a report of the probe seen by Reuters on Thursday.

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Related Topix: Reuters, Corporate / Securities Law, Law, US Securities and Exchange Commission, Financial Services, Banking, JP Morgan Chase , Journalism

CFO

SEC Charges Former CFO with Hiding Internal Control Failures

A Florida firm's CFO and CEO knowingly hid information about inadequate inventory controls and engaged in improper accounting maneuvers, the SEC alleges.

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Related Topix: Corporate / Securities Law, Law, Corporate Governance

Investopedia

How A Company Files With The SEC

Domestic public companies, or those that wish to become public, must comply with several rules and regulations set forth by the Securities and Exchange Commission , a division of the federal government.

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Related Topix: Corporate / Securities Law

Business Journal

Anchor Hocking parent reaches deal with lenders to take $20M investment

EveryWare Global Inc. has amended its forbearance agreement with lenders that will allow the company to receive a $20 million investment to keep it afloat.

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Related Topix: Corporate / Securities Law, Law

Business Journal

Vista Equity affiliate raises $88M tied to AGDATA acquisition

An affiliate of Vista Equity Partners received an $88 million financing that was completed in connection with the acquisition of a North Carolina-based data analytics company.

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

Freshnews

OSL Holdings Hires Former SEC Employee as Vice President, Corporate...

YARDLEY, Pa., July 31, 2014 /PRNewswire/ -- OSL Holdings , a socially conscious business model dedicated to consumer advocacy, social activism and the advancement of civil liberties through the power of commerce, announced today that effective July 7, 2014 Thomas D'Orazio joined the company to help streamline and optimize finance, accounting and ... (more)

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

AmericanBankingNews.com

Insider Buying: Townsquare Media major shareholder Buys 50,737 Shares of Stock

Townsquare Media major shareholder Steven Price acquired 50,737 shares of Townsquare Media stock in a transaction that occurred on Friday, July 25th.

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Related Topix: Corporate / Securities Law, Law

Wed Jul 30, 2014

Business Journal

Citizens CEO could net more than $12M from company sale

Bruce Van Saun, chairman and CEO, Citizens Financial Group, could be in for quite a windfall if the company is sold.

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Related Topix: Corporate / Securities Law, Law

The Hartford Courant

Sources: Troubled Insurer The Phoenix Cos. Explores Sale

The financially troubled Phoenix Cos. has hired investment banks Goldman Sachs Group Inc. and Sandler O'Neill and Partners to explore a sale, according to people familiar with the matter.

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Related Topix: Goldman Sachs, Financial Services, Investment Services, Corporate / Securities Law, Law, US Securities and Exchange Commission, Hartford, CT

JD Supra

SEC Settles Third-Party Insider Trading Claim Against Investor Relations Executive

The Securities and Exchange Commission recently announced a settlement with a partner at an investor relations firm who allegedly traded on inside information obtained through his representation of two companies.

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Related Topix: Corporate / Securities Law, Law, MISONIX, Scientific Instruments, Medicine, Medical Equipment, Healthcare Industry

Reuters

Sec charges Qsgi Ceo, former Cfo over internal control failures

U.S. regulators charged the chief executive and former chief financial officer of Florida-based computer equipment company QSGI Inc on Wednesday with misleading outside auditors and investors about internal control deficiencies over the company's finances.

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Related Topix: Corporate / Securities Law, Law, Corporate Governance

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