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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 Raise the Urgency Level on Cyber Security

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.

Comment?

Related Topix: Securities and Exchange Commission, Law

6 hrs ago | CFO

SEC Spells Out How Rating Agencies Must Reveal Conflicts of Interest

New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.

Comment?

Related Topix: Securities and Exchange Commission, Law

10 hrs ago | JD Supra

Sec Adopts Regulation Ab II

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.

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

13 hrs ago | BroadwayWorld.com

DreamWorks Animation Stockholders Encouraged to Contact Securities Law Firm about Investigation

Securities lawyers at Dunnam & Dunnam announce an investigation of the board of Dreamworks Animation .

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Related Topix: Law

15 hrs ago | Freshnews

CHGT Initiates Development of Retail 3D Printing Portal

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.

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Related Topix: Law

20 hrs ago | Business News

SEC's plan to brake the 'Flash Boys' draws critics

A test program to change the way small-company stocks are traded could slow high-frequency action, though some market participants worry that the initial steps are too tepid.

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Related Topix: Securities and Exchange Commission, Law

Wed Aug 27, 2014

AmericanBankingNews.com

Insider Selling: 5Am Partners Ii, Llc Sells 433,000 Shares of Relypsa Stock

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.

Comment?

Related Topix: Securities and Exchange Commission, Law

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, US Securities and Exchange Commission, Law, Financial Services

JD Supra

SEC Issues Valuation Guidance for Funds Holding Certain Short-Term Debt Securities

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.

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

JD Supra

SEC Charges Colorado Woman and Her Two Companies with Offering Fraud

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.

Comment?

Related Topix: Securities and Exchange Commission, Law

Greenwich Citizen

SEC adopts rules on loan-backed securities

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.

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

AmericanBankingNews.com

usell.com Director Peter Benz Buys 5,000 Shares

The shares were purchased at an average cost of $2.97 per share, for a total transaction of $14,850.00.

Comment?

Related Topix: Securities and Exchange Commission, Law

JD Supra

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission's Division of Market Oversight issued No-Action Letter No.

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Related Topix: Law

Tue Aug 26, 2014

TheStreet.com

Galena CEO Fired Following Stock-Promotions Scandal

Your browser is not supported. Please upgrade to one of the following browsers: Google Chrome Mozilla Firefox Apple Safari Microsoft Internet Explorer 8+ You may proceed to the site by clicking here , however some pages might not work correctly.

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Related Topix: Mozilla, Securities and Exchange Commission, Law, TheStreet, Business News

AmericanBankingNews.com

China Yida Holding major shareholder Sells $39,702 in Stock

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.

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Related Topix: China, Asia, World News, Securities and Exchange Commission, Law

Inside Bay Area

Subpoena of West Contra Costs district reveals scope of inquiry

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.

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Related Topix: Securities and Exchange Commission, Law, Contra Costa County, CA

Business Journal

Commodity Futures Trading Commission charges R2 Capital Group with fraud

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.

Comment?

Related Topix: Law, Stamford, CT

Business Journal

CNG-at-home startup Simple-Fill raises $170K

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 .

Comment?

Related Topix: Securities and Exchange Commission, Law

CFO

Anti-Takover Laws Highlight Fiduciary Dilemma for Boards

Directors have to protect both the company's and its shareholders' interests, which can conflict, as in the case of some coercive takeover bids.

Comment?

Related Topix: Law

Malaysian National News Agency

Argentina: Arrest Directors For Fraudulent Bankruptcy

BUENOS AIRES, Aug 26 -- Argentina's tax office, AFIP, Federal Public Incomes Administration president Ricardo Echegaray announced it had requested the arrest of the Donnelley board of directors for what he called "playing a trick and inventing a fraudulent bankruptcy" for the printing plant located in Buenos Aires province.

Comment?

Related Topix: Donnelley R R and Sons, Commercial Printing, Publishing, Law, Securities and Exchange Commission

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