Securities and Exchange Commission News
News on Securities and Exchange Commission continually updated from thousands of sources around the net.
2 hrs ago | Business Journal
Thar Pharmaceuticals Inc. plans to raise as much as $3 million from investors according to a Tuesday filing with the U.S. Securities and Exchange Commission.
2 hrs ago | CFO
For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company's internal missteps.
6 hrs ago | InvestmentNews
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.
8 hrs ago | Channel3000
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.
11 hrs ago | Housing Wire
The U.S. Securities and Exchange Commission adopted tighter rules for asset-backed securities and credit rating agencies in order to better protect investors.
11 hrs ago | JD Supra
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 .
15 hrs ago | USA Today
The former House majority leader, who was stunningly defeated in a Virginia GOP primary, has joined Moelis & Company as vice chairman and managing director.
Barring any last minute hitches, the Ghana Alternative Market will see its first listing by the end of this year.
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.
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.
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.
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.
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.
Parametric Sound Corp major shareholder Carmine J. Bonanno sold 185,760 shares of the company's stock in a transaction dated Thursday, August 28th.
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.
That's exactly what seed-stage venture firm Floodgate is thinking as it closes its fifth and new fund.
Updated: Tue Sep 02, 2014 06:22 pm
Copyright © 2014 Topix LLC