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U.S. Securities and Exchange Commission

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Securities and Exchange Commission investigates city of Beaumont

The Record Gazette - ‎11 hours ago‎
The United States Securities and Exchange Commission served subpoenas for documents on the city of Beaumont, the Beaumont Financing Authority, and the city of Beaumont Community Facilities District No.
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US SEC charges unregistered brokers with misusing investor money

Reuters - ‎12 hours ago‎
The Securities and Exchange Commission said the two allegedly raised $6 million from more than than 100 investors by claiming their companies had a limited number of warrants to purchase common stock of a technology startup company that could be ...

US Securities and Exchange Commission Adopts Final Rules Implementing Business Conduct Standards for Security ...

Lexology (registration) - ‎Apr 22, 2016‎
On April 15, 2016, the US Securities and Exchange Commission, in its ongoing effort to regulate the over-the-counter security-based swap markets, adopted final rules under Title VII of the Dodd-Frank Act implementing comprehensive business conduct ...
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The SEC Just Extended This Program to Stop Another 'Flash Crash'

Fortune - ‎Apr 22, 2016‎
The U.S. Securities and Exchange Commission on Thursday extended by one year a pilot program designed to curb excessive volatility in domestic securities markets.

TAT Technologies Files Annual Report on Form 20-F With the U.S. Securities and Exchange Commission

PR Newswire (press release) - ‎Apr 21, 2016‎
TAT Technologies Ltd. (NASDAQ: TATT), a leading provider of services and products to the commercial and military aerospace and ground defense industries, announced today that it has filed with the U.S. Securities and Exchange Commission (SEC) its ...

Silicon Valley executive settles SEC insider trading charges

Channel News Asia - ‎May 2, 2016‎
A Silicon Valley executive agreed to pay US$534,303 to settle U.S. Securities and Exchange Commission charges he conducted insider trading in a semiconductor equipment company that was hoping to solicit a competing bid before being sold, the regulator ...

Discovery requests denied in SEC's civil trial against man convicted of securities fraud

The Pennsylvania Record - ‎Apr 28, 2016‎
PHILADELPHIA - The U.S. District Court for the Eastern District of Pennsylvania on Monday denied requests made by a man previously convicted of securities fraud crimes. Judge Michael M. Baylson ruled George Georgiou would not have access to certain ...
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The Securities and Exchange Commission has been discussing a possible resolution of its probe into the Port ...

The Republic - ‎Apr 28, 2016‎
FILE- In this Feb. 11, 2014, file photo. the Pulaski Skyway, which connects Newark and Jersey City, N.J. is shown. The U.S. Securities and Exchange Commission and the Port Authority of New York and New Jersey are discussing a "potential resolution" of ...
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SEC Busts Stock Promotion and Kickback Scheme

24/7 Wall St. - ‎12 hours ago‎
The U.S. Securities and Exchange Commission (SEC) recently announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock.

Extra-Check: Institutionen, die die Märkte bewegen Teil 8: United States ...

Handelsblatt - ‎19 hours ago‎
Der zweite Bereich beschäftigt sich mit der Regulierung des US-Wertpapiermarktes. Hier überwacht die SEC in erster Linie, ob Marktteilnehmer, d.h. Börsen, Wertpapierhändler und Analysten, die Gesetze einhalten und im Sinne der Anleger handeln.

SEC Chief of Staff Keynotes Free Corporate Compliance Conference at Rutgers Law School on May 20

News from Rutgers - ‎May 3, 2016‎
Bringing together academics, practitioners, and government officials, the conference will feature 10 distinguished speakers, including Andrew Donohue, Chief of Staff of the U.S. Securities and Exchange Commission, who will deliver a keynote luncheon ...

US Treasury: Quarterly Refunding Statement Of Acting Assistant Secretary For Financial Markets Daleep Singh

Exchange News Direct - ‎15 hours ago‎
The U.S. Department of the Treasury is offering $62 billion of Treasury securities to refund approximately $60.1 billion of privately-held Treasury notes maturing on May 16, 2016.

PHAROL, SGPS S.A. intends to terminate its U.S. reporting obligations under the U.S. Securities Exchange Act of 1934

PR Newswire (press release) - ‎Apr 26, 2016‎
The Company intends to file a Form 15F with the U.S. Securities and Exchange Commission (the "SEC") as soon as practicable to voluntarily terminate the registration of its ordinary shares and ADSs under Section 12(g) of the Exchange Act and its ...
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CompaniesUS Senator criticises SEC for approval of Cohen fund

Financial Times - ‎Apr 21, 2016‎
In a strongly-worded letter addressed to Mary Jo White, the head of the US Securities and Exchange Commission, Ms Warren called the regulator's approval of Mr Cohen's new Stamford Harbor Capital last month an “unacceptable outcome” and “the latest ...
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TransCanada to Refile Pre-Merger Notification to Federal Trade Commission for Columbia Acquisition

Marketwired (press release) - ‎8 hours ago‎
The notification was first filed on April 4, 2016 with the United States Federal Trade Commission (FTC) under the Hart-Scott-Rodino Anti-Trust Improvements Act (the HSR Act).

Why the SEC Didn't Hit Goldman Sachs Harder

The New Yorker - ‎Apr 21, 2016‎
Kidney has criticized the S.E.C. publicly in the past, and the agency's handling of the Abacus case has been previously described, most thoroughly in a piece by Susan Beck, in The American Lawyer, but the documents provided by Kidney offer new details ...

RBS Holdings N.V. Files Annual Report on Form 20-F with the US Securities and Exchange Commission

Business Wire (press release) - ‎Apr 29, 2016‎
LONDON--(BUSINESS WIRE)--RBS Holdings N.V. (the “Company”) announces that, on 29 April 2016, it filed its Annual Report on Form 20-F with the US Securities and Exchange Commission (SEC). The document is available for viewing on the SEC website ...

SNB's U.S. Equity Holdings Hit Record $54.5 Billion Last Quarter

swissinfo.ch - ‎15 hours ago‎
... of the SNB's U.S. holdings increased by 32 percent in the first quarter, from $41.3 billion at the end of last year, according to calculations by Bloomberg News based on the central bank's regulatory filing to the U.S. Securities and Exchange ...

U.S. SEC panel plans stock exchange fee-cutting experiment

Lawyer Herald - ‎Apr 21, 2016‎
The U.S. Securities and Exchange Commission should mandate an experiment in cutting stock exchanges fees and rebates. A sub-committee of the regulator has recommended this action since it could allegedly illuminate flaws in a pricing model that critics ...

U.S. causes 'hardship' for accused swindler's wife

North Shore News - ‎May 1, 2016‎
The wife of accused securities fraud artist Gregg Mulholland wants the BC Supreme Court to remove the U.S. Securities and Exchange Commission's certificate of pending litigation from a property in Whistler to be able to complete a sale, claiming she ...
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