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US Securities and Exchange Commission News

News on US Securities and Exchange Commission continually updated from thousands of sources around the net.

3 hrs ago | Bangor Daily News

Biddeford maker of lightweight outdoor equipment lands $900,000 investment

Hyperlite Mountain Gear, a outdoor gear manufacturer based in Biddeford's Pepperell Mill Campus, has raised just more than $900,000 in equity financing and a bank loan to support new investment in marketing, product development and staff, according to the Maine Venture Fund .

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Related Topix: Biddeford, ME, Marketing, Financial Services

3 hrs ago | Insider Monkey

Tesla Motors Inc. (TSLA), KAR Auction Services Inc (KAR), Laboratory...

In its latest 13F filing with the U.S. Securities and Exchange Commission, Bridger Management , run by Roberto Mignone , disclosed its holdings as held at the end of the second quarter of 2014.

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Related Topix: Tesla Motors, Biotech, Startups, Medicine, Laboratory Corporation of America Holdings, Healthcare Industry, Financial Services

7 hrs ago | JD Supra

Court of Appeals asked to clarify scope of Dodd-Frank Act whistleblower protections

A federal court of appeals has been asked to clarify the scope of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010's whistleblower protections.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Employment / Labor Law, Financial Services, US News, Eighth Circuit Court of Appeals

9 hrs ago | PaintSquare

Axalta Considering Public Offering

Axalta Coating Systems Ltd. has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission for a proposed initial public offering of its common shares.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Goldman Sachs, Investment Services, Banking, JP Morgan Chase , Stanley

13 hrs ago | Wall Street Journal

Alibaba's Top IPO Banks Underwrite $3Bln Loan

The underwriters on Alibaba Group Holding Ltd.'s initial public offering are going to win a lot of kudos for being on such a mega IPO in the U.S. But four of Alibaba Group's six lead underwriters are also lending the Chinese ecommerce giant $3 billion before the landmark deal kicks off, probably next week, showing how its bankers are looking to ... (more)

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Related Topix: Alibaba, Financial Services

Thu Aug 28, 2014

Sys-Con Media

CIBC Announces New Normal Course Issuer Bid

Purchases of common shares for cancellation will be made subject to CIBC's ongoing capital requirements.

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Related Topix: Retail, Coles Myer, Grocery, Financial Services

Reuters

UPDATE 1-Ex-LPL broker ordered to pay $1.9 mln in U.S. SEC fraud suit

A former broker for a unit of LPL Financial LLC accused of diverting clients' funds for his personal expenses has been ordered by a federal judge to pay more than $1.9 million in civil sanctions.

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

Insider Monkey

Intercept Pharmaceuticals Inc. (ICPT), Bristol-Myers Squibb Co (BMY), ...

Orbimed Advisors , led by Samuel Isaly , recently published its 13F filing with the U.S. Securities and Exchange Commission.

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Related Topix: Biotech, Bristol Myers Squibb, Medicine, Healthcare Industry, Intercept Pharmaceuticals, Financial Services, Venture Capital, Emerging Technology, Biogen Idec

Insider Monkey

Allergan Inc. (AGN) Will Not Succeed in Delaying Stockholders'...

In a new filing with the U.S. Securities and Exchange Commission, Pershing Square , managed by Bill Ackman , has disclosed its and Valeant Pharmaceuticals Intl Inc response to a recent announcement by Allergan Inc. regarding special meeting of stockholders and its court request to block Valeant Pharmaceuticals Intl Inc and Pershing Square from ... (more)

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Related Topix: Allergan, Biotech, Financial Services, Vicept Therapeutics

Beckers ASC Review

Northstar Healthcare to list common shares on U.S. national exchange

Northstar Healthcare has filed a Form 10 Registration Statement with the U.S. Securities and Exchange Commission.

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

Business Journal

Marrone gets approval to sell bioinsecticide Venerate in California

Marrone Bio Innovations formally filed its registration with the U.S. Securities and Exchange Commission for a stock sale that could net the company $35 million.

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Related Topix: Financial Services, Agriculture, Science, Entomology, Life, Fruits, Food, Vegetables

Worcester Telegram & Gazette

Credit raters to face new conflict limits under SEC rules

Credit-rating firms, whose lapses played a central role in the 2008 financial crisis, face broader restrictions on conflicts of interest under rules adopted by the U.S. Securities and Exchange Commission.

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

Bloomberg

SEC Shelves Plan for Private Asset-Backed Bond Disclosure

The U.S. Securities and Exchange Commission, while expanding disclosure requirements for one set of asset-backed securities, has stepped back from a plan to shed more light on a major part of the market.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Financial Markets, Home, Mortgage, Personal Finance

Wed Aug 27, 2014

Insider Monkey

Crosslink Capital Continues To Unload Pandora Media Inc. (P) Stock; Sells 142,000 Shares

Crosslink Capital , managed by Seymour Sy Kaufman and Michael Stark , continues to reduce its exposure to Pandora Media Inc. .

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Related Topix: Venture Capital, Startups, Emerging Technology, Crosslink Capital, Financial Services

Denver Post

Solera Bank mortgage lending division quit in aftermath of proxy fight

In the aftermath of a testy proxy battle this summer for control at Solera National Bancorp - one that included the resignation of its board of directors and the subsequent firing of its CEO - the entire mortgage-lending division quit, according to a federal filing.

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Related Topix: Home, Mortgage, Personal Finance, Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services

Business Journal

Bazaarvoice reports lower bonus payouts for executives

Bazaarvoice Inc. executive bonuses took a hit after the Austin-based company posted losses for fiscal 2014, which ended in April.

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Related Topix: Bazaarvoice, Financial Services, Retail, Wal Mart Stores, Best Buy

Business Journal

SEC could give sustainability 'massive' boost, Bloomberg chief Doctoroff says

Bloomberg LP CEO Daniel Doctoroff, who advocated for standardized sustainability reporting for public companies.

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

Bloomberg

Alibaba First-Quarter Profit Triples Ahead of IPO

Alibaba's profit jumped in the first quarter as advertisers boosted spending on the Tmall and Taobao Chinese e-commerce platforms ahead of its initial public offering.

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Related Topix: Alibaba, Internet, Science / Technology, Financial Services

Freshnews

NeuroSigma, Inc. Files Registration Statement for Proposed Initial Public Offering

NeuroSigma, Inc., a Los Angeles-based life sciences company established to develop bioelectronic technologies, today announced that it has filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission relating to a proposed initial public offering of its common stock.

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Related Topix: Financial Services, Securities and Exchange Commission, Corporate / Securities Law, Law, Investment Banking, Jefferies Group, Investment Services, Attention

The Washington Post

Credit Raters to Face New Conflict Restrictions Under SEC Rules

Credit-rating firms, whose lapses played a central role in the 2008 financial crisis, will face new restrictions on conflicts of interest under rules set to be adopted by the U.S. Securities and Exchange Commission.

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Related Topix: Securities and Exchange Commission, Corporate / Securities Law, Law, Financial Services, Financial Markets, Home, Mortgage, Personal Finance, Business News

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