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Even when the equities markets are in the bull mode, it’s not easy to pull off an IPO.Read full story

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Cracker Barrel Old Country Store is the latest public company to come under siege by a one-man activist force.Read full story

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Topix SEC NewsBLUM Growth Fund, LLC announced it is leading an effort to SIGNIFICANTLY improve company performance and GREATLY increase shareholder value at Cosi .Read full story

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Business Ledger Wire Services SCHAUMBURG — Motorola Solutions Inc. said Tuesday it is enforcing a “strong code of conduct” and has ethics and compliance programs already in place after stories surfaced in The Wall Street Journal and Austrian news magazine Profil this week involving an ongoing investigation into possible bribes to overseas … (more)Read full […]

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Topix SEC NewsA Belvedere investment adviser has been sued by the Securities and Exchange Commission and faces criminal charges in connection with allegations that he defrauded clients and submitted phony documents to the SEC to cover up his crime.Read full story

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The last podcast in a three-part series on social media and electronic devices covers answers to some questions firms frequently ask about third-party posts, links and websites.Read full story

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Topix SEC NewsKaiser Group Holdings, Inc. today announced availability of its second quarter 2011 financial statements on the Company website http://www.kaisergroup.com . , the Company filed a Form 15 with the Securities and Exchange Commission to voluntarily terminate the registration of its common stock and suspend its reporting obligations under the … (more)Read full story

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Topix SEC NewsWhen Michael Marks and John Wang stepped off the board of directors of Jiangbo Pharmaceuticals JGBO.O in June, they said goodbye to the Chinese company with a 23-page resignation letter complaining of months of unanswered questions, unpaid bills and management deception.Read full story

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The staff of the Securities and Exchange Commission is considering recommending civil legal action against the Standard & Poor’s debt ratings agency over its rating of a 2007 collateralized debt offering.Read full story

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McGraw-Hill warned shareholders on Monday that the Securities and Exchange Commission is considering punishing the company’s Standard & Poor’s unit due to its handling of a 2007 security that imploded.Read full story

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Topix SEC NewsSan Francisco - Groupon Inc. chopped its stated revenue by more than half in an updated SEC filing Friday as it corrected the way it accounts for money it receives selling coupons.Read full story

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Topix SEC NewsGroupon Inc. chopped its stated revenue by more than half in an updated SEC filing Friday as it corrected the way it accounts for money it receives selling coupons.Read full story

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Archer Daniels Midland Co. said Friday that it paid its CEO $10.9 million for its most recent fiscal year, a 1 percent cut, even though she met or exceeded most of her targets.Read full story

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Topix SEC NewsIn a Form 13D filing with the Securities and Exchange Commission , Icahn said the decision was made “after concluding that a considerable base of shareholders would not support their stated campaign at this time.” Icahn, who owns a 9.5% stake in Clorox, expressed a belief that a sale to a strategic buyer […]

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Topix SEC NewsWilmington-based PPD announced Raymond H. Hill as the new chief executive Monday, but did not release compensation figures at the time.Read full story

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Topix SEC NewsGroupon Inc chopped its stated revenue by more than half in an updated Securities and Exchange Commission filing on Friday as it corrected the way it accounts for money it receives selling coupons.Read full story

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Topix SEC NewsBangladesh Association of Publicly Listed Companies has taken an initiative to resolve the margin loan crisis in the capital market.Read full story

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A Suwanee-based company that develops medical devices for women seeks to raise $10 million, according to an Securities & Exchange Commission filing.Read full story

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A Tampa company has agreed to acquire a neighboring Florida franchising business with plans to open 21 restaurants in Ohio over the next two years.Read full story

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Topix SEC NewsThe co-founder of institutional money manager AXA Rosenberg has agreed to a settlement with the Securities and Exchange Commission over charges he hid a coding error from clients that caused hundreds of millions in losses.Read full story

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Topix SEC NewsThe head of the Securities and Exchange Commission is facing increased scrutiny from lawmakers as a former top SEC official says he was cleared to work on how victims of Bernard Madoff’s scheme should be compensated, even though he benefited financially from Madoff’s scheme.Read full story

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The second podcast in a three-part series on social media and electronic devices covers questions firms frequently ask about supervision and recordkeeping.Read full story

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The federal Securities and Exchange Commission has filed civil charges alleging a Massachusetts woman played a central role in at least two investment scams that bilked investors of millions of dollars, the Boston Business Journal reports.Read full story

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Federal financial regulators have reportedly stepped up their investigation into cases of possible insider trading before the U.S. government’s credit rating was downgraded last month.Read full story

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The inspector general of the Securities and Exchange Commission has asked the Justice Department to investigate whether a former top SEC official who benefited financially from Bernard Madoff’s Ponzi scheme violated conflict-of-interest laws in helping establish SEC policy.Read full story

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The former top lawyer at the Securities and Exchange Commission had a conflict of interest when he handled Bernard Madoff legal matters for the SEC and should be criminally investigated, the agency’s watchdog said on Tuesday.Read full story

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Topix SEC NewsCaterpillar’s global heavy equipment sales rose 34 percent in August, with strong growth continuing despite the economic slowdown in the U.S. and Europe.Read full story

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Topix SEC NewsNetflix CEO Reed Hastings and other company executives have changed their thoughts on churn rate.Read full story

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Topix SEC NewsWASHINGTON, Sep 17, 2011 - Changes to a key anti-bribery law that applies to international commerce, proposed by the U.S. Chamber of Commerce, could have disastrous consequences, hurting multinational firms, human rights, and the U.S.’s place of respect as an early adopter of the legislation, opponents to the changes argued here Friday.Read full […]

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Topix SEC NewsLife insurance agents are expressing concern about a proposed change emanating from the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.Read full story

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The 53-year-old Dallas Mavericks owner and billionaire entrepreneur has been awaiting the results of an investigation into allegations that the Securities and Exchange Commission behaved badly when probing him for insider trading.Read full story

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Topix SEC NewsInteresting turn of events with Harvey Pitt, the chairman of the Securities and Exchange Commission under the George W. Bush administration who resigned under fire.Read full story

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Topix SEC NewsNine real estate investment trusts have filed to sell approximately $2.5 billion in shares since the beginning of the year, the most significant volume of deals since 2009, the Wall Street Journal reported, and the sales aren’t over yet.Read full story

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A memo from Andrew Mason, Groupon’s chief executive, contributed to a delay in the company’s initial public offering.Read full story

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Topix SEC NewsA past practice of destroying certain pre-investigative materials has not harmed any current or future investigations by the Securities and Exchange Commission, the U.S. agency’s enforcement chief said on Wednesday.Read full story

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Some people stay sharp in their old age by doing crossword puzzles. Some play memory games or Scrabble or cut back on the heavy drinking.Read full story

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Topix SEC NewsThree senior Goldman Sachs Private Wealth Management advisers left the bank earlier this month to form an independent San Francisco boutique, Seven Post Investment Office LP.Read full story

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The first podcast in a three-part series on social media and electronic devices recaps requirements of FINRA’s rules related to social media.Read full story

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Tefron Ltd. , a leading producer of seamless intimate apparel and engineered-for-performance active wear, today announced that it intends to voluntarily terminate the registration of its ordinary shares under the Securities and Exchange Act of 1934 by filing a Form 15F with the Securities and Exchange Commission .Read full story

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When it comes to a sovereign wealth fund , Finance Minister Thirachai Phuvanatnaranubala may have to listen to the advice that he himself gave in his previous capacity as chief of the Securities and Exchange Commission.Read full story

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Topix SEC NewsThis week we got two more examples of a government that can’t remember how to function.Read full story

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SMC Global Power Holdings Corp., the power unit of conglomerate San Miguel Corp., is targeting to complete by the middle of November what could be the Philippines’ biggest IPO valued as much as P35.5 billion, individuals privy to the company’s plans said.Read full story

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A recent episode of “Weeds,” a Showtime television series that features a marijuana-selling single mom, raises the question of what would happen if a crooked financial professional managed a federal investigator’s retirement money.Read full story

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Topix SEC NewsFallout from the Mutual Benefits Corp. case continued Wednesday as the Securities and Exchange Commission announced an indictment charging Steven Steiner with obstructing justice by lying to the agency.Read full story

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Carlyle Group wants to sell $100 million of shares in HCR ManorCare, which the private equity firm acquired in 2007.Read full story

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The top lawyer at the Securities and Exchange Commission this week ordered the enforcement division to cease destroying all investigative records after an internal whistleblower complained the agency was wrongfully discarding important records.Read full story

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A Seattle-area securities broker allegedly lied to his customers about how he was investing their $5 million in order to “fund his lavish lifestyle,” according to a complaint filed today in U.S. District Court for the Western District of Washington by the Securities and Exchange Commission.Read full story

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Topix SEC NewsA draft of a bill that would establish a self-regulatory organization for investment advisers was released today by House Financial Services Committee Chairman Spencer Bachus, R-Ala. The draft was released in advance of Tuesday’s hearing by the House Capital Markets Subcommittee on two key adviser issues - fiduciary duty for investment advice and […]

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Revisit the latest FINRA Notices, compliance resources and news from August 2011.Read full story

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In the decade since the Sept. 11 attacks, lower Manhattan has been transformed. Once the physical financial center of the country, the area has become largely an upscale residential neighborhood.Read full story

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2, filing with the Securities and Exchange Commission. BNY Mellon , New York City, announced last Wednesday that Kelly resigned “due to differences in approach to managing the company.” He had been at the helm of Mellon Financial Corp., Pittsburgh, for less than a year before striking a merger deal with the Bank of New […]

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The Carlyle Group, the Washington, D.C.-based private equity firm, filed paperwork with federal regulators on Tuesday indicating the company’s plans to make an initial public stock offering.Read full story

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Carlyle Group, a target for Michael Moore in the documentary Fahrenheit 9/11, is preparing for a $100m initial public offering.Read full story

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Topix SEC NewsA year after an internal whistleblower accused the Securities and Exchange Commission of improperly destroying records of dropped enforcement inquiries, the agency is still destroying records illegally, a lawyer for the whistleblower said in a letter Tuesday.Read full story

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The first podcast in a two-part series on consolidated FINRA rules for books and records introduces four of eight new rules that go into effect in Dec. 2011.Read full story

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The second of two podcasts on consolidated FINRA rules for books and records highlights four additional rules that go into effect in Dec. 2011.Read full story

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The Security and Exchange Commission’s case against former assistant city auditor Terri Webster for her role in San Diego’s pension troubles was quietly dismissed in August.Read full story

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Gov. Rick Perry and his family have made presidential campaign trips on a jet belonging to Waco businessman Brian Pardo, chief executive of Life Partners Holdings Inc., the Wall Street Journal reported Saturday.Read full story

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September 04, 2011 /24-7PressRelease/ — Regulation D Exemptions Ease Hurdles to Raising Capital Qualifying Businesses Under Rules 504, 505 and 506 Need Not File With the SEC All businesses wishing to sell securities to raise capital must register those securities with the Securities and Exchange Commission , or qualify for an exemption.Read full story

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Topix SEC NewsThe number of investment advisers registered with the Securities and Exchange Commission has fallen for the first time in 10 years, while the assets that they manage have increased sharply, according to a report released last week.Read full story

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Topix SEC NewsA proposal before the Securities and Exchange Commission that would require public companies to disclose political contributions has drawn some favorable comments from investors, but it won’t go a long way in meeting the demands of those advocating for more transparency in political fundraising.Read full story

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