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Securities and Exchange Commission

Securities and Exchange Commission News Editors

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Securities and Exchange Commission News

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

6 hrs ago | Financial Planning

High Court Hedges on Mutual Fund Fee Case

Last week's Supreme Court case has once again brought mutual fund fees to the national spotlight, but a decision by the court might not come for several months, if it comes at all.

Comment?

Related Topix: US News, Corporate / Securities Law, Law, Mutual Funds, Personal Finance

Mon Nov 09, 2009

FOX59.com WXIN-TV Indianapolis

Change that would boost SEC funding part of draft Senate legislation on financial overhaul

Measures that would significantly boost funding for the Securities and Exchange Commission as well as give shareholders a say on executive pay are included in draft financial overhaul legislation in the Senate, a person familiar with the matter said Monday.

Comment?

Related Topix: Corporate / Securities Law, Law, US Politics, US News, Christopher Dodd, US Senate, Democrat, Bernie Madoff, Charles Schumer

ABC News

Ex-SEC Lawyer Pleads Guilty in NY Marc Dreier Case

A former lawyer with the enforcement division of the Securities and Exchange Commission has pleaded guilty to conspiracy in a fraud carried out by a prominent Manhattan lawyer.

Comment?

Related Topix: Corporate / Securities Law, Law

The Post Chronicle

Atheros VP Charged In Galleon Insider Trading Case

Atheros Communications Inc's Ali Hariri is the latest Silicon Valley executive to be charged in the largest hedge fund insider trading case in U.S. history.

Comment?

Related Topix: Financial Services, Corporate / Securities Law, Law

Sun Nov 08, 2009

SanLuisObispo.com

SEC inquiry could lead to Fla. oversight changes

Two top Florida Democrats want changes to the makeup of the board that oversees Florida's $130 billion investment portfolio now under scrutiny from the U.S. Securities and Exchange Commission.

Comment?

Related Topix: Corporate / Securities Law, Law, Financial Services

CRN

Atheros Exec Among 14 Charged In Widening Insider Trading Probe

As if they needed more stress, organizations are facing evolving and increasingly stringent compliance regulations from the Payment Card Industry, as well as Sarbanes-Oxley, HIPAA and others.

Comment?

Related Topix: Corporate Governance, Law, Criminal Defense Law, Corporate / Securities Law, Cell Phones, Electronics

The Business Journal of Milwaukee

SEC charges former Merge execs with fraud

Two former senior executives with Merge Healthcare Inc. have agreed to settle charges with the U.S. Securities and Exchange Commission for their roles in an alleged accounting fraud that ultimately caused the company's stock price to drop by two-thirds during a seven-month period.

Comment?

Related Topix: Corporate / Securities Law, Law, Financial Services, Merge Technologies, Telecom, Software

The Post Chronicle

Lack Of Accounting-Rules Consensus Vexes SEC

U.S. securities regulators are reviewing a proposed roadmap to move U.S. companies to international accounting rules, but are struggling with a lack of public consensus on how to get there, a Securities and Exchange Commission official said on Thursday.

Comment?

Related Topix: Corporate / Securities Law, Law, Corporate Governance

Sat Nov 07, 2009

Institutional Investor News

Madoff Auditors Won't Contest SEC Charges

The auditors for Bernard Madoff have agreed not to contest charges brought by the Securities and Exchange Commission that they enabled fraud by the now-jailed Ponzi scheme investor.

Comment?

Related Topix: Corporate / Securities Law, Law, Bernie Madoff

Jurist

FBI charges 14 more in Galleon Group insider trading scandal

An investigation by the Federal Bureau of Investigation [official website] allegedly revealed more than $20 million in illegal profits and led to criminal charges [charging documents] against hedge fund managers, analysts and lawyers involved in the scheme.

Comment?

Related Topix: US News, US Federal Bureau of Investigation, Financial Services, Investment Services, Criminal Defense Law, Law, Corporate / Securities Law, Prison

Reuters

SEC sees evolution in insider trading

A top U.S. securities regulator said some funds may now view insider trading as a central tenet of their business models, rather than as a one-time opportunity for big rewards as sometimes happened in the 1980s.

Comment?

Related Topix: Corporate / Securities Law, Law, Financial Services, Business News

PR-inside.com

Aspen Technology Sets Date to Announce Fiscal Year 2009 Financial...

Aspen Technology, Inc. , a leading provider of software and services to the process industries, today announced that it will release selected preliminary results for the first quarter of fiscal 2010, along with its financial results for fiscal 2009, on Monday, November 9, 2009.

Comment?

Related Topix: Aspen Technology, Software, Corporate / Securities Law, Law

Fri Nov 06, 2009

The Post Chronicle

More Targets, Cooperators In Galleon Insider Case

Investigators expect more people to be charged in the Galleon hedge fund insider trading case, and they said they have cooperating witnesses to strengthen their case against the fund's billionaire founder, Raj Rajaratnam.

Comment?

Related Topix: Corporate / Securities Law, Law, Financial Services, Consulting

Seattle Post-Intelligencer

MaxLinear, a TV tuner maker, files for IPO

MaxLinear Inc., a maker of TV tuners, is planning to go public. The Carlsbad, Calif.-based company made an S-1 filing with the Securities and Exchange Commission for an initial public offering of its Class A common stock.

Comment?

Related Topix: Corporate / Securities Law, Law

Reuters

SEC probing Florida state investment fund

U.S. federal regulators have launched a fraud investigation into the state agency that runs Florida's $110 billion pension system and another fund hit by a 2007 depositors run, according to government documents.

Comment?

Related Topix: Corporate / Securities Law, Law, Pension, Personal Finance, Financial Services, Home, Mortgage

Lincoln Daily News

Report: Fla. investment agency under investigation

The Florida agency that manages $132 billion in pension and local government investments is under investigation by the Securities and Exchange Commission.

Comment?

Related Topix: Pension, Corporate / Securities Law, Law

Federal Bureau of Investigation

Fourteen Wall Street Professionals Charged with $20 Million in Insider Trading

Manhattan U.S. Attorney Charges 14 Defendants with More Than $20 Million in Insider Trading Charged Defendants Include Hedge Fund Managers, Trading Firm Executives, Lawyers, and Corporate Insiders; Five Already Have Pleaded Guilty To Insider Trading Charges PREET BHARARA, the United States Attorney for the Southern District of New York, and JOSEPH ...

Comment?

Related Topix: New York Metro, Prison, US News, US Federal Bureau of Investigation, Corporate / Securities Law, Law

ETF Investor

A Suspicious Dollar Trade

A large institution was seen buying a large block of UUP call options yesterday just prior to today's ramp in shares on positive news.

Comment?

Related Topix: Corporate / Securities Law, Law, Financial Services

Thu Nov 05, 2009

The Boston Globe

Lendera s ex-CEO must face fraud case

Countrywide Financial Corp.'s former chief executive, Angelo Mozilo, must face a Securities and Exchange Commission lawsuit alleging he misled investors about the home lender's deteriorating finances.

Comment?

Related Topix: Financial Services, Countrywide Financial, Corporate / Securities Law, Law

Institutional Investor

JP Morgan Securities Settles SEC Case

The suit claimed Charles LeCroy and Douglas MacFaddin made unlawful payments to get business in connection with municipal bond offerings and swap agreement transactions with Jefferson County.

Comment?

Related Topix: Corporate / Securities Law, Investment Banking, Law, Financial Services, Jefferson County, NY

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