Topix SEC NewsSocial game maker Zynga Inc. on Wednesday priced a secondary offering of stock at $12 per share, $2 per share more than its initial price when the company went public in December.Read full story
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Topix SEC NewsThe House of Representatives overwhelmingly approved a measure on Tuesday designed to help small businesses and startups use the Internet to raise small amounts of funding from large numbers of investors.Read full story
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A Lego model of the Facebook logo sits on the desk of a programmer inside the company’s office in Palo Alto, Calif., in June 2009.Read full story
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Topix SEC NewsAmeren Corp. subsidiary Ameren Energy Generating Co. has entered into a deal that will allow it to sell three Illinois gas power plants to another Ameren unit for at least $100 million, according to documents Ameren filed Wednesday with the Securities and Exchange Commission.Read full story
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Two lawmakers warned regulators on Thursday not to cast too wide a net over companies that trade swaps as the agency works to finalize rules defining who is designated as a swap dealer.Read full story
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A coalition of reform groups gathered Monday morning to urge the Securities and Exchange Commission to require publicly traded companies to disclose contributions to independent groups engaged in electoral politics.Read full story
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New Enterprise Associates is seeking up to $2.3 billion for its fourteenth fund, according to a filing with the Securities and Exchange Commission.Read full story
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The House on Tuesday passed a bill making it easier for more companies to become publicly traded by bypassing audits and disclosures now required for investors.Read full story
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Topix SEC NewsDespite warnings that less government oversight might mean more investment scams, Congress on Tuesday sent President Barack Obama legislation he endorsed making it easier for startups to raise capital without running afoul of federal regulations.Read full story
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Topix SEC NewsGoldman Sachs chairman Lloyd Blankfein must discuss his interactions with the government when he speaks with lawyers for a former board member of the investment bank who has been accused of insider trading, a judge ruled Tuesday.Read full story
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Topix SEC NewsSome Fort Wayne-area car buyers are finding they can have decent fuel efficiency without sacrificing on size.The Cruze is popular at Crumback-Symons Chevrolet Inc.Read full story
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Topix SEC NewsThe Supreme Court finally took notice of one of the changes in the criminal justice system: we don’t do trials any more.Read full story
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Topix SEC NewsIt look as though the startup game might be in for a big change, as the senate this week approved two new pieces of legislation concerning crowdfunding.Read full story
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Topix SEC NewsThe corruptionA allegations levelled against the leadership of the Securities and Exchange Commission by the House of Representatives Committee on the Capital Market, may not negatively affect the inflow of foreign investments into the market, experts have said.Read full story
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Wells Fargo is fighting back.The San Francisco-based bank said over the weekend that it will “vigorously” defend itself against a move by the Securities and Exchange Commission to seek a court order to compel it to turn over documents related to a probe of mortgage-backed securities.The SEC’s action is “inappropriate and unwarranted,” Mary Es…Read full […]
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A company given $126.2 million in stimulus taxpayer funds from the U. S. Department of Energy is under investigation for insider trading according to a federal subpoena obtained by CBS News.Read full story
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Pushed to the bottom of the toy box by video games and other high-tech gadgets, Etch A Sketch is… In a filing with the Securities and Exchange Commission, the racing and gambling company said that RohitThukral resigned March 19 as the company’s executive vice president in charge of technology initiatives and as president of its […]
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Topix SEC NewsFreddie Mac announced today that it plans to issue a new five-year USD Reference Notes security, CUSIP number 3137EADF3, due on May 12, 2017.Read full story
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Topix SEC NewsIn a victory for the State Comptroller’s Office, the Securities and Exchange Commission has rejected a request by ExxonMobil to block a shareholder resolution put forth by Thomas DiNapoli.Read full story
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March 22 - The Electronic Frontier Foundation urged a federal appeals court Wednesday to block administrative subpoenas from the Securities and Exchange Commission that would reveal the identities of three pseudonymous Gmail users without meeting the legal standards for identifying anonymous speakers.Read full story
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The House of Representatives ended the week on a rather sad note. One of its committees investigating the dwindling fortunes of the Capital Market was embroiled in a sleazy allegation of demanding a bribe from one of the agencies it was investigating to determine its role in the failure of the Stock Market, the Securities […]
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Topix SEC NewsMoody’s Investors Service lowered its outlook on JDA Software Group Inc. JDAS to negative from stable, citing the supply-chain company’s inability to file its annual report with the Securities and Exchange Commission due to an SEC probe.Read full story
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Mutual fund companies and investor groups are going to the mat in an effort to forestall proposed changes in regulations of money market funds expected soon from the SEC.Read full story
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A COUPLE and two other cohorts are facing charges before the Regional Trial Court for illegally recruiting four people for a promised job in London.Read full story
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Small businesses complain that they’re starved for capital these days. And there’s a debate raging about a possible solution under consideration by Congress: equity-based crowd funding.Read full story
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Topix SEC NewsDanny Stauffer of Milwaukee has been working as a baker at Walmart for almost five years.Read full story
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Topix SEC NewsVenda, Inc . thanks Demandware for amending its S-1 filing with the Securities and Exchange Commission and its IPO roadshow presentation materials to accurately reflect Venda’s position in the On Demand market.Read full story
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One year after investment advisers had to comply with a tough new rule that restricts their donations to political campaigns, many are still plodding through the fine print.Read full story
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In February 2008, as the mortgage meltdown was creating a crisis at Thornburg Mortgage, the chief executive of the big lender wrote an e-mail explaining how he hoped to keep the trouble under wraps, the Securities and Exchange Commission said.Read full story
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What’s said at AA should stay at AA - especially when it’s about a public company merger that hasn’t yet been announced, says the Securities and Exchange Commission.Read full story
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Topix SEC NewsA no-action letter that The Charles Schwab Corp. received last month from the Securities and Exchange Commission could accelerate efforts to streamline trading and custody of alternative investments.Read full story
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Topix SEC NewsPlain-vanilla money-market funds, part of the skeletal structure of American finance, may be a $2.7 trillion disaster hiding in plain sight.Read full story
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For three decades, James L. Douglas owed money as part of a court order to repay Toledo-area investors whom authorities said he fleeced out of millions of dollars - money the Securities and Exchange Commission says is way past due.Read full story
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The mother of all micromessaging sites grew its hype and valuation as its members packed on followers, turning it over the course of 2010 into one of the hottest private startups on the planet.Read full story
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But that’s what Joseph Insinga is trying to do. Insinga, formerly an executive at the Dutch bank Rabobank, says he has been a lucrative tipster for the Internal Revenue Service , according to a recent report in The Washington Post .Read full story
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Topix SEC NewsThe share market regulator has fined six people including the chairman of Fine Foods Limited Tk 33.1 million for non-compliance of securities laws.Read full story
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Topix SEC NewsWhen it comes to goosing the lagging economy, the White House has largely focused in recent months on executive branch actions - something they dub the ” we can’t wait ” campaign.Read full story
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Topix SEC NewsThe common shares are being offered pursuant to the Company’s effective shelf registration statement which was previously filed with the Securities and Exchange Commission.Read full story
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Topix SEC NewsTwo years ago, Anton Valukas issued a 2,200-page report that laid bare the accounting gimmicks that hid Lehman Brothers Holding, Inc.’s shaky finances.Read full story
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Topix SEC NewsFacebook has secured US$8 billion ahead of the social network’s eagerly-anticipated initial public offering , according to documents provided to US regulators.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from February 2012.Read full story
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Federal judge hits founder of Brookstreet with huge penalty for hawking risky securities to retirees; defunct firm once had 500 reps Stanley C. Brooks, the affable founder of the now-defunct Brookstreet Securities Corp., has been ordered to pay a maximum penalty of $10 million due to violations in the sale of mortgage-backed securities from 2004 […]
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Topix SEC NewsSecurities and Exchange Commission officials have been citing a jump in the number of enforcement actions last year as proof that an overhaul of the agency’s investigative force is bearing fruit.Read full story
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New York, March 3 : The defence team of Goldman Sachs Group’s Indian American director Rajat Gupta, accused of insider trading, is seeking material to show “animosity” between Gupta and convicted hedge fund billionaire Raj Rajaratnam.Read full story
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CBOE Holdings Inc., owner of the biggest U.S. options venue, said the Securities and Exchange Commission is investigating whether the company is complying with its obligations as a self-regulatory organization.Read full story
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Topix SEC NewsWynn Resorts Ltd. added to its headaches Friday as trading in its shares was temporarily halted after the gambling giant erroneously said it received a hotly anticipated approval to build a new casino in Macau.Read full story
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MANILA, Philippines - Rules on listing exchange-traded funds in the Philippines will be finalized this quarter, the Securities and Exchange Commission said yesterday, helping attract overseas investors to one of Asia’s smallest equity markets.Read full story
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NetSol Technologies, Inc. , a worldwide provider of global IT and enterprise application solutions, today announced the pricing of an underwritten public offering of 14,500,000 shares of its common stock, offered at a price to the public of $0.40 per share, for gross proceeds of $5,800,000. Net proceeds to NetSol, after deducting underwriting … (more)Read […]
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Indianapolis-based Allison Transmission, the former parts unit of General Motors Co., is seeking to raise as much as $522 million for its private-equity owners in an initial public offering.Read full story
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Topix SEC News NEW YORK - It isn’t every day that a reporter gets to sit in on a high-stakes policy meeting in New York’s financial district, but that’s exactly what I did on a balmy evening in late February at 60 Wall Street, the U.S. headquarters of Deutsche Bank. No, the bank didn’t lose […]
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Topix SEC NewsReynolds American Inc., the nation’s second-biggest tobacco company, awarded its incoming CEO Daniel M. Delen a compensation package valued at $8.5 million in fiscal 2011, up 38 percent from fiscal 2010, when he served as president and CEO of subsidiary R.J. Reynolds Tobacco Co., according to an Associated Press analysis of a regulatory […]
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