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U.S. Securities and Exchange Commission

US SEC freezes assets of Utah-based Ponzi scheme operator | Reuters

Firstpost - ‎Jul 28, 2016‎
WASHINGTON The U.S. Securities and Exchange Commission said on Thursday it had frozen the assets of the operator of a Utah-based Ponzi scheme that raised more than $207 million from investors worldwide, mainly in the United States, India and Russia ...

The US Securities And Exchange Commission Recognizes The Athens Stock Exchange As A "Designated Offshore ...

Exchange News Direct - ‎Jul 26, 2016‎
On July 15 2016, the U.S. Securities and Exchange Commission (SEC), the supervisory authority of the U.S. capital markets, has recognized the "Hellenic Exchanges?
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SEC speeds up listing process for some ETFs

Reuters - ‎Jul 22, 2016‎
The U.S. Securities and Exchange Commission on Friday approved listing standards for some exchange-traded funds, paving the way for issuers to bring funds to the market in weeks instead of months.
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Fiat Chrysler confirms federal investigation into sales reports

Detroit Free Press - ‎Jul 18, 2016‎
Fiat Chrysler Automobiles released a statement Monday confirming it's under investigation by the U.S. Securities and Exchange Commission for the way the automaker reports sales figures to the public in quarterly reports. FCA, which also said it had ...

For growth, stock photo startup Snapwire looks to SEC's equity crowdfunding

Digital Trends - ‎15 hours ago‎
The new U.S. Securities and Exchange Commission's regulation, known as Title III of the JOBS Act, or Jumpstart Our Business Startup, went into full effect in May, and it changed how small companies can raise money.

Form 10 Registration Statement Filed with the U.S. SEC for Air Products' Electronic Materials Division Spin-off ...

PR Newswire (press release) - ‎Jul 28, 2016‎
LEHIGH VALLEY, Pa., July 28, 2016 /PRNewswire/ -- Air Products (NYSE: APD) has filed an amended Form 10 registration statement* with the United States Securities and Exchange Commission (SEC) for its Electronic Materials Division (EMD) spin-off ...
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Goldman Sachs Subpoenaed by US Agencies for Documents Related to 1MDB

Wall Street Journal - ‎16 hours ago‎
Goldman received the requests for information earlier this year from the U.S. Justice Department and the Securities and Exchange Commission, the person said. Investigators have also subpoenaed a Goldman banker who worked closely with the Malaysian ...

REFILE-TABLE-Panasonic -Q1 group results (SEC)

Reuters - ‎Jul 29, 2016‎
... Div 10.00 yen -Q4 Div 15.00 yen NOTE - Panasonic Corp. (Figures are reported based on U.S. accounting rules set by the U.S. Securities and Exchange Commission.) To see Company Overview page, click reuters://REALTIME/verb=CompanyData/ric=0 ...

Shopify Files Preliminary Base Shelf Prospectus and Registration Statement

Business Wire (press release) - ‎Jul 29, 2016‎
The Registration Statement filed with the SEC has not yet become effective. No securities may be sold, nor may offers to buy be accepted, prior to the time the Registration Statement becomes effective.

US fines LATAM for Jaime bribes

Buenos Aires Herald - ‎Jul 25, 2016‎
Latin America's largest airline will pay the US Justice Department US$12.75 million and US$9.4 million including interest to the US Securities and Exchange Commission (SEC). This comes after the US agencies had concluded an investigation last February ...

U.S. SEC Market Intelligence Chief Martinez to Resign

StreetInsider.com - ‎Jul 22, 2016‎
The Securities and Exchange Commission today announced that Vincente L. Martinez, Chief of the SEC's Office of Market Intelligence is planning to leave the agency in early August.

AFPM files comments to US Securities Exchange Commission

Energy Global - ‎Jul 29, 2016‎
The American Fuel & Petrochemical Manufacturers (AFPM) filed comments to the US Securities Exchange Commission's (SEC) Concept Release on Business and Financial Disclosure Required by Regulation S-K.

FCA dealers getting subpoenas related to sales probe

Detroit Free Press - ‎18 hours ago‎
Spokesmen for the U.S. Securities and Exchange Commission and the U.S. Department of Justice also declined to comment. Bellavia is the attorney who initially filed a lawsuit in federal court in Chicago against FCA US on behalf of dealerships owned by ...

Shire (SHPG) Says It Does Not Endorse TRC Capital's 'Mini-Tender Offer'

StreetInsider.com - ‎20 hours ago‎
... requirements applicable to most bids under U.S. securities legislation. The U.S. Securities and Exchange Commission (the "SEC") has also published investor tips regarding mini-tender offers on its website at https://www.
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Former Treasury Chiefs Tell SEC to Crack Down on Climate

Scientific American - ‎Jul 22, 2016‎
Three former secretaries of the U.S. Treasury yesterday forcefully urged the Securities and Exchange Commission to manage financial disclosures related to climate change.

One Appellate Giant Replaces Another in Second Circuit Challenge to SEC

Law.com (subscription) - ‎Jul 25, 2016‎
After former U.S. solicitor general Theodore Olson and his team were booted from New York financier Lynn Tilton's challenge to the U.S. Securities and Exchange Commission, Tilton lost little time in finding another top appellate practitioner with U.S ...
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SEC fines LAN Airlines $22m over corrupt payments

economia - ‎Jul 26, 2016‎
An investigation by the US Securities and Exchange Commission (SEC) had found that the airline, which is headquartered in Santiago, Chile, had taken up an offer from an Argentinian consultant to negotiate with the unions during a wages dispute between ...
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Federal officials charge Sarasota man with fraud conspiracy

Sarasota Herald-Tribune - ‎21 hours ago‎
Last year the U.S. Securities and Exchange Commission filed a civil complaint against Mirman, claiming he violated numerous federal securities laws by selling “blank-check” companies that were falsely presented to investors as legitimate start-up ...

China Cord Blood Corporation Files Its Annual Report on Form 20-F

Yahoo Finance - ‎Jul 28, 2016‎
The Form 20-F can be accessed by visiting the U.S. Securities and Exchange Commission's website at http://www.sec.gov and also be found at the Investor Relations section of CCBC's website at http://ir.

US SEC Approves Nasdaq Rule Amendments Requiring Disclosure of “Golden Leash” Arrangements

Lexology (registration) - ‎Jul 19, 2016‎
On July 1, 2016, the Securities and Exchange Commission (SEC) approved amendments to the listing rules of The Nasdaq Stock Market LLC (Nasdaq) that will require listed companies to disclose compensation paid by third parties to directors or nominees ...
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