Bookmark

Add to MyYahoo RSS

Corporate / Securities Law News

News on Corporate / Securities Law continually updated from thousands of sources around the net.

3 hrs ago | Silicon Alley Insider

The SEC Charges 'Golfing Buddies' In Insider Trading Scheme

A group of golfing buddies were charged by the Securities and Exchange Commission in an alleged insider trading scheme that netted them more that $554,000 in illicit profits, the agency said in a release .

Comment?

Related Topix: Securities and Exchange Commission, Law, Insider, Club, American Superconductor, Manufacturing, Electronics

5 hrs ago | USA Today

You don't want surprises from your money fund

Every once in a while, something really boring becomes really interesting. Vinyl flooring? So dull! At least, until it gives way and flips you into the basement.

Comment?

Related Topix: Securities and Exchange Commission, Law

8 hrs ago | Silicon Alley Insider

Cynk Trading Halted

Now, the SEC has suspended trading in CYNK until July 24, "because of concerns regarding the accuracy and adequacy of information in the marketplace and potentially manipulative transactions in CYNK's common stock."

Comment?

Related Topix: Securities and Exchange Commission, Law

11 hrs ago | Hispanic Business

Cesar Johnston Joins Energous Corporation as Senior Vice President of Engineering

'I am thrilled to be working with and our customers to bring WattUp wire-free charging to market.'

Comment?

Related Topix: Emerging Technology, Wireless, Law

Thu Jul 10, 2014

Hispanic Business

Labstyle Innovations Corp. Files (8-K) Disclosing Unregistered Sale of Equity Securities

The Offering closed on . Pursuant to the terms of the Securities Purchase Agreement, the Company is potentially required to issue additional shares of Common Stock at a specified time to the Buyers in the event that the price per share of Common Stock in the Offering is greater than the price per share of the Common Stock, calculated as 90% of the ... (more)

Comment?

Related Topix: Law

Federal Computer Week

OPM breach, de facto debarment, system on a chip and more

Computer systems at the Office of Personnel Management were attacked by hackers in China who were apparently seeking information on security clearance applicants, the New York Times reports .

Comment?

Related Topix: Computer Security, Science / Technology, Securities and Exchange Commission, Law

Silicon Alley Insider

A Third Of Advisors Want To Buy Another Practice In The Next Five Years

In the next five years, there will be plenty of buyers for financial advisor practices.

Comment?

Related Topix: Securities and Exchange Commission, Law, Mutual Funds, Personal Finance

GlobeNewswire

Memorial Production Partners LP Announces Pricing of Public Offering of Common Units

Memorial Production Partners LP announced today that it has priced its public offering of 8,600,000 common units representing limited partner interests in MEMP for total gross proceeds of approximately $193.5 million.

Comment?

Related Topix: Securities and Exchange Commission, Law

Reuters

COMPLY-Why U.S. election season donations can trip up advisers

The U.S. election season is under way, which means opportunities are mounting for public retirement plan advisers to do the wrong thing.

Comment?

Related Topix: Personal Finance, Retirement, Securities and Exchange Commission, Law, US Securities and Exchange Commission, Financial Services, Pension

Benzinga

SoTHERLY Hotels Inc. Announces ATMEquity Offering

SoTHERLY Hotels Inc. announced today that it has filed a prospectus supplement with the Securities and Exchange Commission and entered into a Sales Agency Agreement with its operating partnership, Sotherly Hotels LP , and Sandler O'Neill & Partners, L.P., as the sales agent, under which it may, from time to time, sell up to $23.4 million of its ... (more)

Comment?

Related Topix: Securities and Exchange Commission, Law

San Diego NewsCape

SEC Charges California School District with Misleading Investors

The Securities and Exchange Commission today charged a school district in California with misleading bond investors about its failure to provide contractually required financial information and notices.

Comment?

Related Topix: Securities and Exchange Commission, Law

Wed Jul 09, 2014

AmericanBankingNews.com

Minerva Neurosciences major shareholder Care Capital Iii Llc Buys 737,500 Shares

Minerva Neurosciences major shareholder Care Capital Iii Llc bought 737,500 shares of Minerva Neurosciences stock in a transaction dated Monday, July 7th.

Comment?

Related Topix: Securities and Exchange Commission, Law

Newswise

Federal Regulatory Spending Rises Most at Agencies Funded by Industry Fees

While tight budgets are constraining regulatory spending at many federal agencies, those that garner funding from industry fees are using these revenue streams to fund substantial increases in regulatory programs and staffing, according to an annual report that examines the U.S. budget.

Comment?

Related Topix: George Washington University, Law, Healthcare Law

Sys-Con Media

Naked Announces Final Closing of $7.3 million Oversubscribed Private...

The final closing of the oversubscribed Offering follows Naked's announcement in early June of a new senior management team headed by Carole Hochman as CEO & Chief Creative Officer, Michael Flanagan as COO/CFO, and Carlos Serra as the VP of Sales and Merchandising.

Comment?

Related Topix: Marketing, Law

GhanaWeb

Republic Bank still relentless

The Trinidad-based Republic Bank has expressed its commitment to reviewing what it describes "any attractive opportunity that meets its criteria" in its quest to own majority stake in a bank in Ghana.

Comment?

Related Topix: World News, Ghana, Africa, Securities and Exchange Commission, Law

InvestmentNews

Annuity industry pushes SEC for summary prospectus rule

An interest group representing firms that sell variable annuities wants the Securities and Exchange Commission to speed up its work on a rule that would provide investors with a plain English summary of the costs, benefits and risks associated with the complex products.

Comment?

Related Topix: Securities and Exchange Commission, Law, Management, Personal Finance, Retirement

Tue Jul 08, 2014

Pittsburgh Post-Gazette

Dodd-Frank delay: America is vulnerable to a lack of financial rules

Six years since the financial industry had to be resuscitated by the federal government, the American economy still remains at risk from another catastrophic episode of over-speculation and bailouts.

Comment?

Related Topix: Securities and Exchange Commission, Law, Mortgage, Personal Finance, Opinion

Switched

Elizabeth Warren's Question Of Trust Stumps Wall Street Exec

It seems like a simple question. With only 15 percent of Americans trusting the stock market and a declining percentage who invest in it, what can market bosses do to restore the people's faith? That's what Sen. Elizabeth Warren wanted to know in a Senate Banking Committee hearing on Tuesday.

Comment?

Related Topix: US Politics, US News, Senator Elizabeth Warren, US Senate, Books, Flash Boys, Securities and Exchange Commission, Law, Washington, DC

Ledger-Enquirer.com

SEC and California school district settle dispute

Without admitting or denying the Securities and Exchange Commission's allegations, officials with the district located southeast of Fresno, Calif., agreed to adopt new training and written policies, among other changes.

Comment?

Related Topix: Securities and Exchange Commission, Law, Education Etc.

Reuters

UPDATE 1-California school system settles SEC bond disclosure charges

A central California school district has settled U.S. Securities and Exchange Commission charges that it misled investors by omitting required disclosures when it conducted a $6.8 million bond offering in November 2010, the regulator said on Tuesday.

Comment?

Related Topix: Securities and Exchange Commission, Law, Education Etc., US Securities and Exchange Commission, Financial Services

•••
•••
•••
•••

Corporate / Securities Law Hot Topics

•••
•••
•••