Securities and Exchange Commission

Securities and Exchange Commission Newswire

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Results 1 - 20 of 49,622 in Securities and Exchange Commission

  1. American Shared Hospital Services Announces $1.2 Million Private FinancingRead the original story

    3 min ago | Customer Interaction Solutions

    ... of American Shared Hospital Services is included in the filings of the Company with the Securities and Exchange Commission, including the Company's Annual Report on Form 10-K for the year ended December 31, 2013, the Form 10-Q for the quarters ended ...

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  2. Heartland Executive Director and Leaf CEO to Participate in Keynote...Read the original story

    4 min ago | Customer Interaction Solutions

    ... many factors, including risks and additional factors that are described in the Company's Securities and Exchange Commission filings, including but not limited to the Company's annual report on Form 10-K for the year ended December 31, 2013. Given ...

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  3. ZeekRewards founder charged in $850 million scamRead the original story

    19 min ago | Star-Telegram.com

    ... and the online penny auction site Zeekler.com. The company was shut down by the U.S. Securities and Exchange Commission in 2012, but not before prosecutors say Burks and his conspirators used the promise of massive profits to lure more than 1 ...

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  4. MSRB Creates Supervision and Compliance Requirements for Municipal AdvisorsRead the original story

    21 min ago | PressReleasePoint

    The Municipal Securities Rulemaking Board received approval from the Securities and Exchange Commission to create the first new rule for municipal advisors since the SEC released its final registration rule for these professionals in September 2013. New MSRB Rule G-44 establishes baseline supervisory and compliance obligations for municipal advisors .

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  5. SEC Sanctions Auditor for Violating Lead Partner Rotation RulesRead the original story w/Photo

    24 min ago | WebCPA

    The Securities and Exchange Commission has sanctioned a Florida-based auditor for violating federal laws and regulations that require lead audit partners to periodically rotate off their audit engagements with a publicly traded company in order to preserve the integrity of the financial reporting process. The lead partner primarily responsible for the audit of a public company is prohibited from performing lead audit partner services for the same issuer for more than five consecutive fiscal years.

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  6. SEC announces insider trading charges for N.J. man for pharmaceutical acquisition knowledgeRead the original story w/Photo

    30 min ago | MarketWatch

    The Securities and Exchange Commission on Friday announced insider trading charges against David Post of Livingston, N.J., who generated nearly $700,000 in illicit profits after receiving tips that two pharmaceutical companies were about to be acquired. Post and his source, Zachary Zwerko, who was charged earlier this month, were formerly business school classmates who had used "burner" cell phones, used coded text messages and used a dummy email account to exchange information, the SEC said.

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  7. Delisting of Securities of ALCO Stores, Inc., GeoMet, Inc., NII...Read the original story w/Photo

    53 min ago | GlobeNewswire

    ... 2014 and has not traded on Nasdaq since that time. Nasdaq will file a Form 25 with the Securities and Exchange Commission to complete the delisting for each of these companies. The delistings become effective ten days after the Form 25 is filed. For ...

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  8. American Shared Hospital Services Announces $1.2 Million Private FinancingRead the original story

    58 min ago | Business Wire

    ... of American Shared Hospital Services is included in the filings of the Company with the Securities and Exchange Commission, including the Company's Annual Report on Form 10-K for the year ended December 31, 2013, the Form 10-Q for the quarters ended ...

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  9. Tewksbury man charged by SEC in insider trading probe of Carter's stockRead the original story w/Photo

    1 hr ago | NJ.com

    The Securities and Exchange Commission filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used nonpublic information to trade in advance of market-moving news concerning Carter's, Inc. Steven Slawson, 67, of Tewksbury Township was co-founder and former manager of a hedge fund named TCMP3 Partners L.P., based in Parsippany. He becomes the eighth person charged by the SEC in connection with the agency's investigation into insider trading and other misconduct involving the securities of the Atlanta-based marketer of children's clothing.

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  10. Full House Resorts' bylaws change makes special meetings more difficultRead the original story w/Photo

    1 hr ago | Las Vegas Review Journal

    ... operator to call a special meeting before the end of the year. In a filing with the Securities and Exchange Commission, the Las Vegas-based company's board voted Tuesday to limit the number of special meetings called by stockholders and to delay any ...

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  11. IDEXX Laboratories' (IDXX) CEO Jon Ayers on Q3 2014 Results - Earnings Call TranscriptRead the original story w/Photo

    1 hr ago | Seeking Alpha

    ... here today. These risk factors are explained in detail in the company's filings with the Securities and Exchange Commission. Please refer to these filings for a more detailed discussion of forward-looking statements and the risks and uncertainties ...

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  12. Sensient Technologies' (SXT) CEO Paul Manning on Q3 2014 Results - Earnings Call TranscriptRead the original story w/Photo

    1 hr ago | Seeking Alpha

    ... risks and uncertainties, which are discussed in detail in the company's filings with the Securities and Exchange Commission. We urge you to read Sensient's filings for a description of these factors. Please bear these factors in mind when you ...

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  13. Colgate-Palmolive's (CL) CEO Ian Cook on Q3 2014 Results - Earnings Call TranscriptRead the original story w/Photo

    1 hr ago | Seeking Alpha

    ... investors should consult our most recent annual report on Form 10-K filed with the Securities and Exchange Commission, and available on our website, including the information set forth under the captions Risk Factors and Cautionary Statement on ...

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  14. Strata Oil Submits Application to Drill Cold Production Targets on Cadotte West LandRead the original story

    1 hr ago | Market Wire

    ... h have been filed with the SEC. More information is included in Strata's filings with the Securities and Exchange Commission which may be accessed through the SEC's web site at www.sec.gov .

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  15. Kroll Bond Rating Agency Assigns Preliminary Ratings to Invitation Homes 2014-SFR3Read the original story

    1 hr ago | Business Wire

    ... disclosure for this transaction can be found here . KBRA is registered with the U.S. Securities and Exchange Commission as a Nationally Recognized Statistical Rating Organization (NRSRO). In addition, KBRA is recognized by the National Association ...

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  16. Randgold Resources: Preparedness Spurs Prompt Response to Mali's First Ebola CaseRead the original story

    1 hr ago | Market Wire

    ... tinue to be refined, as well as those factors discussed in Randgold's filings with the US Securities and Exchange Commission (the 'SEC'). Although

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  17. Eighth exec charged in Carter's insider trading caseRead the original story w/Photo

    1 hr ago | Business Journal

    The Securities and Exchange Commission filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used material, nonpublic information to trade in advance of market-moving news about Carter's Inc. The Securities and Exchange Commission filed insider trading charges against a New Jersey-based hedge fund manager who allegedly used material, nonpublic information to trade in advance of market-moving news about Carter's Inc. Stephen Slawson , who lives in Lebanon, N.J., and was co-founder and former manager to a hedge fund named TCMP3 Partners LP, is now the eighth individual the SEC has charged in connection with the agency's investigation into insider trading and other misconduct involving the securities of the Atlanta-based marketer of children's clothing .

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  18. Canaccord Genuity Increases PC Connection Price Target to $25.00Read the original story

    1 hr ago | AmericanBankingNews.com

    The firm currently has a "buy" rating on the stock. Canaccord Genuity's price target indicates a potential upside of 14.73% from the company's current price.

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  19. Williams Companies Downgraded by Zacks to UnderperformRead the original story w/Photo

    1 hr ago | AmericanBankingNews.com

    They currently have a $48.00 target price on the stock. Zacks 's price objective would suggest a potential downside of 9.60% from the stock's previous close.

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  20. Sears Holdings Corp's "Neutral" Rating Reaffirmed at ZacksRead the original story

    1 hr ago | AmericanBankingNews.com

    's stock had its "neutral" rating reaffirmed by Zacks in a report issued on Friday. They currently have a $38.00 price objective on the stock.

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