Topix SEC NewsBeacon Power Corporation announced today that the Company has consummated the sale of 8,966,000 units to three investors for $0.50 per unit, as previously announced on December 22, 2008.Read full story
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Chinese legal experts said Monday there should be zero tolerance for corruption by multinationals in China, in the same way as in other countries.Read full story
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Topix SEC NewsToll Brothers, Inc. , the nation’s leading builder of luxury homes, announced today that Robert I. Toll, the Company’s Chairman and CEO, adopted a prearranged trading plan in accordance with the guidelines …Read full story
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PORTLAND, ORE.: Wal-Mart Stores Inc., the world’s largest retailer, said it will pay as much as $640 million to settle 63 lawsuits over wage-and-hour violations, ending years of dispute.Read full story
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Topix SEC NewsInvestors looking to recoup some of the $50 billion they lost in Bernard Madoff’s alleged Ponzi scheme may get a better idea what the New York financial adviser has left when he is forced to reveal his assets …Read full story
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If the proposed transaction is consummated, the Permira Newcos and News Corporation would own approximately 51% and 49% of NDS, respectively.Read full story
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Topix SEC NewsInvestigators probing the alleged fraud carried out by Bernard Madoff are looking at a key lieutenant at the firm and have issued a subpoena to the accountant who audited the firm’s financial statements, the …Read full story
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Topix SEC NewsPublished: Wednesday, December 24, 2008 at 1:00 a.m. Last Modified: Tuesday, December 23, 2008 at 10:02 p.m. The parent of the largest bank based in Florida is in danger of having its shares delisted by the …Read full story
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Topix SEC NewsEnergy czar-designate Carol Browner’s husband does it. So does Health and Human Services Secretary-designate Tom Daschle’s wife.Read full story
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Wall Street’s top regulator defended his agency’s handling of the US finance crisis Wednesday, denying that a culture of lax oversight allowed the Bernard Madoff scandal to go undetected.Read full story
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A discussion on FINRA’s Coordinator Program, which provides firms with a dedicated point-of-contact for regulatory inquiries. Hosts: Dean Miller and Martha Mugamba; Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsHedge-fund managers say Bernard Madoff may succeed where Christopher Cox failed: forcing regulation of their $1.5 trillion industry.Read full story
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Minneapolis-based UnitedHealth Group today issued the following statement regarding a settlement with the Securities and Exchange Commission in connection with the previously disclosed investigation into the …Read full story
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Grill Concepts, Inc. today responded to inquiries regarding its previously announced plan to terminate the registration of its common stock.Read full story
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Topix SEC NewsItalian automobile and truck manufacturer Fiat S.p.A. and several of the company’s subsidiaries today agreed to pay a total of more than $17 million in connection with Foreign Corrupt Practices Act charges …Read full story
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Topix SEC NewsSiemens AG and subsidiaries in Argentina, Venezuela and India last week pleaded guilty to violating the U.S. Foreign Corrupt Practices Act by, among other things, attempting to bribe government officials around …Read full story
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FINRA staff discuss requirements for filing a certified annual audit report, pursuant to SEC Rule 17a-5. Hosts: Liz Amundson and Andrew Labadie; Producer: Kenneth Edward Piner.Read full story
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The Bernard Madoff scandal has spurred a flurry of court action and investigations as authorities scramble to get to the bottom of the suspected fraud.Read full story
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In this Jan. 20, 1935, file photo, Charles Ponzi is shown in the garden of his home in Rome, Italy, after being deported from the United States.Read full story
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Topix SEC NewsCentral Asia News.Net Thursday 18th December, 2008 The $50 billion investment fraud to which the respected New York financier and former NASDAQ Chairman Bernard L. Madoff has allegedly confessed, may prove to …Read full story
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Topix SEC NewsThe Phoenix Companies, Inc. today announced that the Securities and Exchange Commission has declared effective the Form 10 Registration Statement relating to the spin-off of Virtus Investment Partners, Inc., a …Read full story
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Topix SEC NewsDecember 18, 2008 The U.S. Securities and Exchange Commission has approved a plan to require public companies to file financial information electronically in an effort to give investors faster and better access …Read full story
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This podcast, the audio version of a FINRA webcast, explains in plain English what to expect from FINRA’s arbitration and mediation processes, and includes an explanation of the differences between them and references to available resources for resolving disputes. This is part of the “What to Expect” webcast series, which was created to take the […]
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He faces federal charges of securities and wire fraud, according to the U.S. Attorney in Manhattan.Read full story
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Cox says SEC will this month finalise its rule on internactive data format for all public company financial reports from Christopher Cox, Securities and Exchange Commission chairman, said in a speech to the …Read full story
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Marc Dreier, the founder and managing partner of a New York City law firm with offices around the country, was charged with securities and wire fraud by federal prosecuters and the U.S. Securities and Exchange …Read full story
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Topix SEC NewsFleetwood commenced a registered exchange offer on October 30, 2008 for its existing $100 million principal amount of 5% convertible senior subordinated debentures.Read full story
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CKE Restaurants Inc. announced today third quarter results and the filing of its Report on Form 10-Q with the Securities and Exchange Commission for the twelve weeks ended Nov.Read full story
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This podcast discusses a firm’s anti-money laundering obligations when responding to information requests from law enforcement agencies. Hosts: Jeffrey Bloom and Jessica Hopper; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from November 2008. Hosts: Kenneth Edward Piner and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
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The U.S. Securities and Exchange Commission may act to curb conflicts of interest at credit-rating companies while delaying a mortgage-bond ranking proposal faulted by underwriters, two people familiar with the …Read full story
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Topix SEC NewsAuto union says it will restart contract talks A A A United Auto Workers official said Wednesday the union has agreed to restart contract talks with U.S. automakers and delay their payments into a union-run …Read full story
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Moving forward with its Vision 2010 strategy, AmREIT’s board of trust managers approved the company’s privatization through withdrawal of its class A common shares from being listed on the NYSE Euronext …Read full story
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DHAKA: The Securities and Exchange Commission at a meeting on Tuesday approved the draft rules of book-building method for initial public offering pricing.Read full story
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Topix SEC NewsSEC commissioners unanimously barred those who assess debt from discussing compensation with bankers who seek a letter grade before they sell bonds.Read full story
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