Securities and Exchange Commission News
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2 hrs ago | AmericanBankingNews.com
Masonite International Corp major shareholder Oaktree Capital Group Holdings unloaded 504,778 shares of Masonite International Corp stock on the open market in a transaction that occurred on Wednesday, August 27th.
6 hrs ago | VentureBeat
That's exactly what seed-stage venture firm Floodgate is thinking as it closes its fifth and new fund.
10 hrs ago | The Washington Post
Alibaba Group Holding Ltd. is postponing the start of investor meetings for its initial public offering by about a week to answer questions posed by the U.S. Securities and Exchange Commission, according to a person with knowledge of the matter.
I spend most of my time digging into Wall Street, hedge funds and private equity firms, looking for both the good and the bad.
Under the proposed rules, unintended trades placed by professional traders will usually have their prices adjusted to levels as close to their fair market value as possible, while wrong trades by retail customers will be mainly be undone, five sources with knowledge of the matter told Reuters.
This month the Washington State Court of Appeals, Division III issued a ruling in Becker v.
Reading companies' annual reports to the Securities and Exchange Commission is a reliable cure for insomnia.
The U.S. Court of Appeals for the Second Circuit has ruled that the Dodd-Frank Act does not protect whistleblowers outside the United States.
For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company's internal missteps.
Growblox Sciences major shareholder Israel Opportunities F. Lazarus acquired 46,625 shares of the company's stock on the open market in a transaction that occurred on Wednesday, August 27th.
Two senior executives of a Dallas-based information technology company that's now part of Xerox Corp. have agreed to pay nearly $675,000 to settle allegations that they mischaracterized transactions to inflate the company's revenue and mislead investors, the Securities and Exchange Commission said Thursday.
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.
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.
New rule requires rating agencies to promptly gauge whether a company's current rating must be revised to eliminate a conflict of interest.
A judge had ordered Joseph Stilwell to appear in court and respond to a subpoena from the Securities and Exchange Commission tied to a securities fraud investigation.
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.
The Securities and Exchange Commission is reportedly examining alternative mutual funds launched by some of the country's largest asset managers, in order to improve regulatory oversight for the segment which is fast gaining popularity among retail investors.
Updated: Sat Aug 30, 2014 11:57 am
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