Corporate / Securities Law News
News on Corporate / Securities Law continually updated from thousands of sources around the net.
2 hrs ago | Wall Street and Tech
Hedge funds are bracing for SEC exams on cyber security preparedness in 2014, but do they need a chief information security officer? Hedge funds are paying more attention to cyber security as a result of recent guidance from the Securities and Exchange Commission.
6 hrs ago | CFO
New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.
10 hrs ago | JD Supra
This morning the Securities and Exchange Commission in an open meeting voted to adopt long-awaited final rules implementing a series of changes to the registration and offering process for asset-backed securities and expanded disclosure and reporting under the SEC's Regulation AB.
13 hrs ago | BroadwayWorld.com
Securities lawyers at Dunnam & Dunnam announce an investigation of the board of Dreamworks Animation .
15 hrs ago | Freshnews
As 6th Dimension Technologies, a subsidiary of Changing Technologies, Inc. , continues to explore new opportunities to expand its footprint in the booming 3D printing space, the Company is investigating a partnership with an interactive software company to carry out the development of the Company's online portal project.
Relypsa major shareholder 5Am Partners Ii, Llc sold 433,000 shares of the stock on the open market in a transaction dated Tuesday, August 26th.
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.
The Securities and Exchange Commission recently provided some expanded valuation guidance to mutual funds in its release on Money Market Fund Reform dated July 23, 2014.
On August 15, the Securities and Exchange Commission filed a complaint against Heidi Ann Gamer and two companies under her control, Gamer Economic Systems, LLC and Gamer Media Partners Corp. The SEC alleged that between August 2011 and August 2012, Gamer fraudulently sold $771,900 of securities to over three dozen investors.
Financial firms that sell securities backed by loans, like the kind that fueled the 2008 financial crisis, will have to give investors details on borrowers' credit record and income under action taken Wednesday by federal regulators.
The shares were purchased at an average cost of $2.97 per share, for a total transaction of $14,850.00.
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China Yida Holding major shareholder Pope Investments Ii Llc unloaded 7,800 shares of China Yida Holding stock in a transaction dated Tuesday, August 26th.
The Securities and Exchange Commission sought a much broader range of documentation and financial records related to the West Contra Costa school district's $1.6 billion bond program than earlier thought, according to the subpoena released Tuesday in response to a public records request by this newspaper.
Marcia Krieger , chief U.S. District Court judge in Colorado, has issued a restraining order freezing the assets of the owners of Denver-based R2 Capital Group and other holding companies.
Simple-Fill Inc., which is developing technology to allow vehicles running on compressed natural gas to fill up at home, has raised $170,000 through convertible notes offered to three investors, the company disclosed in a Securities and Exchange Commission filing .
Directors have to protect both the company's and its shareholders' interests, which can conflict, as in the case of some coercive takeover bids.
Updated: Thu Aug 28, 2014 07:56 pm
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