Investment adviser, firms pay $23.5M in SEC deal
The Securities and Exchange Commission announced the settlement Friday with Thomas Priore and ICP Asset Management, and two affiliated firms.www.businessweek.com
SEC Must Defend Negligence Lawsuit Over Stanford Ponzi Scheme
The U.S. Securities and Exchange Commission must defend a negligence lawsuit alleging that the agency failed to act appropriately after concluding that R. Allen Stanford was operating a Ponzi scheme, a judge ruled.www.bloomberg.com
Opinion: SEC bureaucracy is threatening to quash an innovation renaissance
One of the key elements of this new law is a proposal, which is now under consideration by the U.S. Securities and Exchange Commission, that would end the ban on general solicitation and advertising for start-ups seeking investors. This is a game ...www.washingtonpost.com
Want to Buy a Private Stock?
The likely outcome will be wide access to formerly exclusive securities—and a greater risk of fraud and abuse. On Aug. 29, the Securities and Exchange Commission proposed a rule permitting issuers to promote private offerings to the general investing ...online.wsj.com
Bay Area solar firm settles fraud case
A Bay Area solar panel company and its officers have agreed to pay $200,000 to settle a complaint that they defrauded investors by concealing the transfer of nearly half the company's assets to managers in China, the Securities and Exchange Commission ...www.sfgate.com
United States: US Securities And Exchange Commission Adopts Final Conflict ...
According to Section 13(p) of the Securities Exchange Act of 1934 and new SEC Rule 13p-1, the conflict minerals disclosure rule applies to any company that files reports with the SEC under Section 13(a) or Section 15(d) of the Exchange Act if conflict ...www.waste-management-world.com
SEC, CFTC charge manager who boasted success amid Madoff loss
(Reuters) - The U.S. Securities and Exchange Commission said it has won an emergency asset freeze against a money manager who claimed to invest $1.5 billion, and fraudulently lured clients with false boasts of his investment prowess despite major ...www.reuters.com
Western Financial Planning Accused of Running Real Estate Fraud
The Securities and Exchange Commission (SEC) announced yesterday (Sept. 7) that a federal judge has granted its request for a restraining order and asset freeze against Louis V. Schooler and Western Financial Planning Corporation.www.sandiegoreader.com
SECP advises merging Lahore, Islamabad bourses
ISLAMABAD: Following the demutualisation of the stock exchanges, and to attract foreign bourses to invest into the Pakistani capital market, the Securities and Exchange Commission of Pakistan (SECP) has advised the merger of Lahore and Islamabad stock ...www.thenews.com.pk
SECP proposes merger of ISE and LSE
ISLAMABAD: In order to attract strategic investors for demutualised stock exchanges, the Securities and Exchange Commission of Pakistan (SECP) has proposed merger of Lahore Stock Exchange (LSE) and Islamabad Stock Exchange (ISE) or all three stock ...www.brecorder.com
Flowserve Announces Proposed Offering of $500 Million of Senior Notes Due ...
The offering of the Notes will be made pursuant to an effective shelf registration statement on Form S-3 previously filed with the Securities and Exchange Commission. J.P. Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells ...www.reuters.com
Odd Lots Considered for Official Count of U.S. Trading Volume
Creating the consolidated tape, an official record of price and volume data for all transactions, was among the first steps the Securities and Exchange Commission took in the 1970s to build a national market by linking trading on NYSE and regional U.S.www.bloomberg.com
SEC Staff Recommending Against Standard Credit-Ratings Terms
U.S. Securities and Exchange Commission staff recommended against creating identical terms and stress tests for credit-ratings, while supporting greater transparency on how grades are determined.www.businessweek.com
Securities and Exchange Commission Lifts Rule on Hedge Funds and Venture ...
Today's proposed Securities and Exchange Commission (SEC) rule lifting the outdated ban on "general solicitation" by hedge funds and venture capitalists is a victory for entrepreneurs, small investors, and, most of all, the First Amendment.www.opposingviews.com
Jinko Solar Responds to Initiation of Anti-Dumping Investigation by European ...
Further information regarding these and other risks is included in JinkoSolar's public filings with the Securities and Exchange Commission, including its annual report on Form 20-F for the year ended December 31, 2011 filed with the Securities and ...www.sacbee.com
SEC postpones discussion on technology glitches to October 2
Citing scheduling conflicts, the U.S. Securities and Exchange Commission said late on Thursday the new date will help accommodate individuals and groups who have expressed strong interest in participating in the discussion.in.reuters.com
13d Filings
13Ds are filed with the Securities and Exchange Commission within 10 days of an entity's attaining a greater than 5% position in any class of a company's securities.online.barrons.com
Michael Kors registers for stock offering
Michael Kors did not disclose exactly which shareholders will sell shares but did not some member of its management are included, according to its filing with the Securities and Exchange Commission. The company will not receive any proceeds from the ...www.cbsnews.com
Swap Traders Voice Opposition to CFTC's Audio Records Rule
"Nothing can be more useful to a prosecutor than to be able to be a fly on the wall while the transaction is happening," Steve Crimmins, a K&L Gates LLP law partner and former Securities and Exchange Commission deputy chief litigation counsel, said in ...www.businessweek.com
The SEC Says Speak Up About Hack Attacks
Securities and Exchange Commission guidelines on when cyberattacks should be disclosed have become de facto rules for at least six companies, including Google (GOOG) and Amazon.www.businessweek.com
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