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U.S. Securities and Exchange Commission

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SEC probes Alibaba's Singles Day; stock drops

USA TODAY - ‎May 25, 2016‎
The U.S. Securities and Exchange Commission is probing Chinese e-commerce giant Alibaba's annual blockbuster sales day.

US Securities and Exchange Commission

The News Teller - ‎19 hours ago‎
A Pakistani man has been accused of committing fraud by the US Securities & Exchange Commission. According to the SEC, the fake bogus integrated Device bid was made by a Pakistani man named Nauman Aly. The Pakistani is also alleged of roughly ...
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SEC raises concerns about Valeant's use of 'non-GAAP' measures

The Globe and Mail (subscription) - ‎May 24, 2016‎
The U.S. Securities and Exchange Commission is concerned about the way Canadian drug maker Valeant Pharmaceuticals International Inc. has been disclosing its “non-GAAP” financial measures, regulatory filings showed on Tuesday.
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U.S. Securities and Exchange Commission files complaint against pro golfer Phil Mickelson for insider trading

Florida Times-Union - ‎May 19, 2016‎
NEW YORK - The professional golfer Phil Mickelson has agreed to forfeit nearly $1 million that the Securities and Exchange Commission said was unfairly earned on a tip from an insider trading scheme conducted by a former corporate director and a ...
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Deutsche Bank Post-Crisis Mortgage Positions Probed by SEC

Bloomberg - ‎May 23, 2016‎
Investigators are looking at positions overseen by Troy Dixon, who at the time ran the bank's trading for U.S. government-backed mortgage bonds known as agency pass-throughs, said the people.

The Financial Report May 19, 2016 - US Securities and Exchange Commission Developments

Lexology (registration) - ‎May 20, 2016‎
SEC implements JOBS Act and FAST Act revisions to Securities Exchange Act registration requirements. The Securities and Exchange Commission approved final rules that revise certain registration requirements under Section 12(g) of the Securities ...

SEC says cyber security biggest risk to financial system

Reuters - ‎May 17, 2016‎
WASHINGTON Cyber security is the biggest risk facing the financial system, the chair of the U.S. Securities and Exchange Commission (SEC) said on Tuesday, in one of the frankest assessments yet of the threat to Wall Street from digital attacks.

Congress to weigh spending cuts to US securities regulator

Reuters - ‎May 24, 2016‎
According to a summary of legislation released on Tuesday, the Financial Services Subcommittee will debate appropriating $1.5 billion for the Securities and Exchange Commission, which is $50 million below current levels and $226 million less than the ...

US securities regulator takes aim at exchange-traded funds

The Globe and Mail (subscription) - ‎May 20, 2016‎
The statements by Mary Jo White, chair of the Securities and Exchange Commission, were the frankest warning yet that the agency could tighten regulation of the funds.
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SEC Calls Out Financial Sector for Poor Security

Infosecurity Magazine - ‎May 18, 2016‎
The US Securities and Exchange commission has called out the major trading exchanges and financial clearinghouses for being reckless in their cybersecurity postures.
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US SEC charges Pakistani man over bogus Integrated Device bid

Himalayan Times - ‎May 24, 2016‎
NEW YORK: A Pakistani man has been charged with fraud by the US Securities and Exchange Commission for illegally trading Integrated Device Technology Inc (IDTI.

U.S. SEC Investigates Alibaba's Accounting Practices

Nasdaq - ‎May 25, 2016‎
(RTTNews.com) - Alibaba Group Holding Limited ( BABA ) disclosed in a regulatory filing that it was being investigated by the U.S. Securities and Exchange Commission over whether the company's accounting practices violated any federal laws. Alibaba ...

Alibaba in US SEC accounting probe

China Economic Review - ‎May 25, 2016‎
The Wall Street Journal reports the company disclosed Tuesday that the Securities and Exchange Commission asked Alibaba to provide details of its accounting for a delivery affiliate, its operating data for the largest online shopping day of the year ...
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Securities and Exchange Commission Publishes Regulation Crowdfunding Compliance Guide for Small Entities

The National Law Review - ‎May 16, 2016‎
The United States Securities and Exchange Commission (SEC) has published a small entity compliance guidein anticipation of Monday's (May 16, 2016) effectiveness of Regulation Crowdfunding.
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More Worries for Alibaba as SEC Probes Operations

Barron's - ‎3 hours ago‎
Last week, the Chinese online retail giant (ticker: BABA) headed by founder Jack Ma, which raised about $22 billion in a highly publicized equity offering in September 2014, revealed that the U.S. Securities and Exchange Commission is investigating ...

SEC Investigates Bridgepoint Education Finances

Inside Higher Ed - ‎May 25, 2016‎
Bridgepoint Education, the parent company of Ashford University, announced in a corporate filing last week that it has received a second subpoena from the U.S. Securities and Exchange Commission. The subpoena is related to investigations by the ...

SEC fines Federated Investors for oversight shortfalls

Reuters - ‎12 hours ago‎
Federated Investors Inc (FII.N) will pay a $1.5 million fine to settle U.S. Securities and Exchange Commission charges that it failed to properly monitor whether outside consultants it employed might have misused potential market-moving information ...
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Cyber Security A Major Risk To US Financial System: SEC Chief

Dark Reading - ‎May 20, 2016‎
US Securities and Exchange Commission (SEC) chief Mary Jo White has issued the strongest warning to date about threats from hackers saying the US financial system's cyber policies are inadequately equipped to deal with them, reports Reuters.

Alibaba's stock slumps after disclosure of SEC probe into Singles Day data, consolidation practices

MarketWatch - ‎May 25, 2016‎
Shares of Alibaba Group Holding Ltd. BABA, -6.82% slumped 2.7% in premarket trade Wednesday, after the China-based ecommerce giant disclosed in a filing that it was being investigated by the U.S. Securities and Exchange Commission. The company ...

Filing Of Definitive Proxy Statement On Schedule 14A With The US Securities And Exchange Commission

PharmiWeb.com (press release) - ‎May 16, 2016‎
LONDON, May 16, 2016 (GLOBE NEWSWIRE) -- LivaNova PLC (the "Company") announces today that it has filed its definitive proxy statement on Schedule 14A with the US Securities and Exchange Commission ("SEC"). The document is available for ...
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