Topix SEC NewsBy MARK JEWELL The Associated Press Wednesday, July 30, 2008; 2:56 PM BOSTON — Pax World Management Corp.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsPublicly traded companies can use their Web sites exclusively to disseminate information to investors under guidelines adopted Wednesday by the Securities and Exchange Commission.Read full story
Filed under: SEC News | No Comments »
Brooke Corp. will delay the filing of its quarterly report with the Securities and Exchange Commission because of a subsidiary’s pending sale of First Life America Corp.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission has recently been promoting market socialism.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Securities and Exchange Commission signed a memorandum of understanding with the Labor Department to make permanent the sharing of information to help protect the retirement savings of American workers.Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
A T the behest of the Securities and Exchange Commission , the Investments and Securities Tribunal earlier this month gave judgment shutting down some 30 companies which were found to have been operating …Read full story
Filed under: SEC News | No Comments »
The Atlanta Regional Office of the Securities and Exchange Commission has filed fraud actions against two Southeastern companies, alleging that they engaged in “pump-and-dump” schemes in which companies …Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission is trying to get to the bottom of the rumors swirling around Lehman Brothers .Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
This podcast, the audio version of a FINRA webcast, focuses on the rule that guides pricing of debt securities and a related interpretation. Host: Malcolm Northam; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Integrated BioPharma, Inc. today announced that it has established a record date and a distribution date with respect to the spin-off of the Company’s interest in iBioPharma, Inc.Read full story
Filed under: SEC News | No Comments »
ONLINE Find more tips to stretch your dollar in the “Your Money” section at MyrtleBeachOnline.com. Don’t look now, but your favorite 401 mutual fund may be going the way of the VHS tape.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission has filed insider trading charges against unnamed investors who took out options to buy shares of defense contractor DRS Technologies and another company shortly before …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe head of the U.S. Securities and Exchange Commission said on Thursday that his agency should oversee investment banks under a new regulatory regime aimed at averting another credit crisis.Read full story
Filed under: SEC News | No Comments »
Federal regulators and the U.S. Attorney’s Office opened an investigation into Tulsa-based SemGroup LP, which filed for bankruptcy this week after losing a reported $2.4 billion in hedged trading on the oil …Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
The Securities and Exchange Commission said it filed fraud charges and obtained an emergency court order to stop a Hillsborough investment adviser who allegedly misappropriated more than $20 million from …Read full story
Filed under: SEC News | No Comments »
The top U.S. securities regulator remains steadfast in a plan to broaden an emergency rule to curb abusive short selling despite opposition from the hedge fund industry and other short sellers.Read full story
Filed under: SEC News | No Comments »
In his last public appearance as a member of the Securities and Exchange Commission, Commissioner Paul Atkins said that, with regards to shareholder rights, the agency “would be wise to continue to respect the …Read full story
Filed under: SEC News | No Comments »
Surgical products maker ArthroCare Corp., which has said it will restate its results going back to 2006, said Thursday it is the subject of an informal inquiry by the Securities and Exchange Commission.Read full story
Filed under: SEC News | No Comments »
China Netcom Group Corporation Limited , a leading broadband and fixed-line communications operator in China, has filed its annual report for the year ended December 31, 2007 on Form 20-F with the United …Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Topix SEC NewsEngineered Support Systems Inc. ’s former CEO and chairman Michael Shanahan Sr. pleaded guilty Monday to one of a dozen charges related to backdating company options.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsHCC Insurance Holdings, Inc. announced today that it has reached a settlement with the United States Securities and Exchange Commission by consenting to the entry of a permanent injunction against future …Read full story
Filed under: SEC News | No Comments »
Until just recently, policy-makers were doing well in the financial crisis. Congress passed a timely and well-crafted stimulus.Read full story
Filed under: SEC News | No Comments »
Via Acquire Media NewsEdge) Jul. 22–Aerospace giant Boeing Co. urged shareholders to seek financial advice before deciding whether to respond to a below-market “mini-tender” offer for its shares.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Securities and Exchange Commission says an officer at a biofuels company with headquarters in Natchez used false and misleading information to reap a stock profit.Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
FINRA Chief of Enforcement Susan Merrill discusses variable annuities. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Chad Brand is founder and President of Peridot Capital Management, a contrarian value-oriented investment advisory firm focused on providing customized portfolio management services to individual investors.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe European Commission wants to cooperate closely with the U.S. Securities and Exchange Commission on the planned regulation of credit rating agencies, the German financial weekly Euro am Sonntag reported.Read full story
Filed under: SEC News | No Comments »
A subscription to the Wall Street Journal costs several hundred dollars a year, so most people out there don’t get it and DollarCollapse.com rarely posts links to its articles.Read full story
Filed under: SEC News | No Comments »
CHICAGO : A clampdown on short selling will drive more investors to use options as another way to make bearish bets, but it has also created a headache for options market-makers that could prevent them from …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsCOEUR D’ALENE, Idaho, July 16, 2008 — Timberline Resources Corporation today provided an update on its planned acquisition of underground mine contractor Small Mine Development, LLC as well as other …Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
The Mayor of Beaufort was charged with insider trading after he received a confidential tip while doing consulting work for a biotech company, according to the Securities and Exchange Commission.Read full story
Filed under: SEC News | No Comments »
U.S. securities regulators’ moves to curb short selling of financial sector stocks may give a boost to a handful of exchange-traded funds that are shorting the financial sector and producing sizzling returns.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission has been busy this week putting regulations on short sellers, but some officials said that instead of mitigating the crisis, the SEC’s move amounts to little more than …Read full story
Filed under: SEC News | No Comments »
By PAUL GIANNAMORE, Business editor WHEELING - Amid the flurry of paperwork filed with the Securities and Exchange Commission preceding the corporate purchase of Esmark by Russia’s OAO Severstal are details of …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsLet’s start with the theory that some people are bad. And let’s assume they like money as much as everybody else.Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
The U.S. Securities and Exchange Commission has sent subpoenas to more than 50 hedge-fund advisers as it investigates whether individuals spread false rumors to manipulate shares in two Wall Street firms, The …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe U.S. Securities and Exchange Commission will take emergency action today to the limit the ability of traders to bet on a decline in the shares of Freddie Mac, Fannie Mae and brokerages, the agency’s …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsTwo years after going private, the owner of the Dallas-based Dave & Buster’s restaurant chain is seeking to return to the public markets, hoping to raise $170 million in an initial public offering.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsPreceding its Q2 earnings release due this Thursday, AMD today said there will be another big ATI write-down. The company announced in a filing with the Securities and Exchange Commission that the goodwill and …Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission today issued an emergency order to enhance investor protections against “naked” short selling in the securities of Fannie Mae, Freddie Mac, and primary dealers at …Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
This podcast is the second in a two-part series on the essential elements of the Customer Identification Program, an AML requirement. Hosts: Glen Jackson and Helena Johnson; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsThe SEC makes an announcement that may change many advisors’ personal practice, causing equity indexed annuities to be regulated as securities.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Federal Reserve Board and the Securities and Exchange Commission on Monday laid out how they will jointly supervise investment banks and large dealers, issuing a 10-page document that - at least initially - …Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission said it is immediately opening a probe aimed at preventing the spread of false information used to manipulate securities prices.Read full story
Filed under: SEC News | No Comments »
OSI Geospatial Inc. announced today that it intends to file a Form 15F with the United States Securities and Exchange Commission to terminate the registration of its shares of Common Stock under section 12 of …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Securities and Exchange Commission has filed a complaint against a registered stockbroker and a former chief technology officer, claiming they created falsely positive news about a medical device …Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
Topix SEC NewsSycamore Networks Inc. and three former executives on Wednesday agreed to settle federal regulators’ allegations of improper backdating of stock options from 2000 to 2005.Read full story
Filed under: SEC News | No Comments »
Anheuser-Busch will urge shareholders to reject InBev’s board-removal proposal that the Belgian brewer plans to mail to shareholders as part of its takeover bid.Read full story
Filed under: SEC News | No Comments »
The push for a new international accounting system is picking up traction. As the Corner Office reported April 8, moves to accept International Financial Reporting Standards instead of the GAAP could well …Read full story
Filed under: SEC News | No Comments »
Federal Reserve Chairman Ben Bernanke and Treasury Secretary Henry Paulson told Congress Thursday that new regulatory powers are needed to insulate the national economy from damage if a big Wall Street firm …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsNew York, July 9: The analyst at the credit ratings agency was blunt: “Let’s hope we are all wealthy and retired by the time this house of cards falters.” That candid assessment, sent by e-mail to a colleague …Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Topix SEC NewsJuly 7: Industry Risk - Survey Shows New Guidance from SEC and PCAOB Having Positive Impact on Sarbanes-Oxley Compliance Efforts Location: California Author: RiskCenter Staff Date: Monday, July 7, 2008 Is it …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsAmerican Airlines parent AMR Corp. , studying a spinoff or sale of its American Eagle regional unit, said it gave financial and other data to “interested parties.” The materials were provided “in early …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsJP Morgan Chase & Co Chief Executive Jamie Dimon said U.S. regulators should investigate whether people betting on Bear Stearns’ stock falling deliberately brought down the investment bank.Read full story
Filed under: SEC News | No Comments »
By Jeffrey H. Birnbaum Washington Post Staff Writer Tuesday, July 8, 2008; Page D01 The Bush administration and the Securities and Exchange Commission are pressing forward with a plan that would allow American …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsA Securities and Exchange Commission investigation into credit-rating companies found the firms improperly managed conflicts of interest and violated internal procedures in granting top rankings to mortgage …Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
This podcast, the audio version of a FINRA webcast, is an overview of AML responsibilities geared toward operations staff. Host: Kosha Dalal; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Source: Federal Register Wordcount: 27455 SECURITIES AND EXCHANGE COMMISSION Proposed rule.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsComments that include profanity or personal attacks or other inappropriate comments or material will be removed from the site.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsSulpicio Lines is rich enough to pay the families of those aboard its ferry, the MV Princess of the Stars that sank in central Philippines last month, a lawmaker said Sunday.Read full story
Filed under: SEC News | No Comments »
AUSTRALIA should be prepared for a tough new corporate police officer: the US Securities and Exchange Commission.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsBrewer InBev says it will file a statement with U.S. regulators seeking to remove the entire board of Anheuser-Busch, turning up the heat in its $46 billion unsolicited bid for its American rival.It is proposing its own board for Anheuser, which includes Adolphus Busch IV, the uncle of CEO August Busch IV.InBev said […]
Filed under: SEC News | No Comments »
Topix SEC NewsLiquidnet, an electronic network provider for dark pools that let firms anonymously trade large blocks of stock without traditional brokers and exchanges, filed a registration with the Securities and Exchange …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsInvestors are worried about mortgage finance company Freddie Mac’s plans to shore up its finances.Read full story
Filed under: SEC News | No Comments »
The formation of an LGBT affinity group at the SEC and an LGBT congressional caucus presage a warmer atmosphere for gays in Washington.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Securities and Exchange Commission is making the financial security of seniors one of its top priorities.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Bermuda-based OneBeacon Insurance Group announced that it has filed a shelf registration statement on Form S-3 with the Securities and Exchange Commission .Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Revisit the latest Notices, compliance resources and news from June 2008. Hosts: Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Telecom Argentina , one of the leading telecommunications groups in Argentina, announced today that it has submitted to the SEC its Annual Report on Form 20-F with the corresponding complete audited financial …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe Company has informed the American Stock Exchange of its intention to list on the NASDAQ Global Market and to delist its common stock from the AMEX.Read full story
Filed under: SEC News | No Comments »
The CEO of Atlanta-based homebuilder Beazer Homes USA Inc. received a compensation package last year valued at $3.2 million, with more than half of it coming from stock awarded to him as part of a bonus for his …Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission said Tuesday it has charged cable-chip company Microtune Inc.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsNEW YORK - A director of freight railroad company CSX Corp. exercised options for 20,000 shares of common stock, according to a Securities and Exchange Commission filing.Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »