Submit a Story!

Securities and Exchange Commission RSS

Add as Favorite
What's Hot:
Select time frame: Now | Week | Month
David K. Donovan, Jr. and David R. Hinkle: Lit. Rel. No. 21312 / November 23, 2009
sec.gov — U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 21312 / November 23, 2009 Securities and Exchange Commission... v. David K. Donovan, Jr. and David R. Hinkle , Civil Action No. 08-CA-10649-RWZ (D. Mass., Complaint filed April 16, 2008) Jury ... (more) David K. Donovan, Jr. and David R. Hinkle: Lit. Rel. No. ...
Buffett, Soros Both Bought Wal-Mart in the Second Quarter
blogs.wsj.com — Wal-Mart shares seem to have finally found some love. What with unemployment at 10.2% and projected to... be elevated for the foreseeable future, it would seem logical to be long the giant discount retailer. But through much of the run-up since the March ... (more) Buffett, Soros Both Bought Wal-Mart in the Second Quarter
Are CalPERS' hands clean?
hf-implode.com — It's not yet clear whether the California Public Employees' Retirement System, better known as CalPERS, has engaged... in the same kind of pay-to-play activities that have rocked New York state's pension systems, resulted in charges of corruption and cronyism, sparked a nationwide probe by the ... (more) Are CalPERS' hands clean?
SEC manages to win an insider trading case
ftalphaville.ft.com — What's this? Has the SEC managed to successfully prosecute someone for insider trading? Looks like it, according... to Reuters: Federal securities regulators won an insider trading case when a jury in Boston ruled that a former Fidelity employee ... (more) SEC manages to win an insider trading case
A Closer Look at Rajaratnam's Civil Defense
A Closer Look at Rajaratnam's Civil Defense
dealbook.blogs.nytimes.com — Peter Henning, a guest blogger for the Deal Professor, takes a closer look at Raj Rajaratnam's defense... against the S.E.C.'s civil lawsuit and his arguments that the wiretap evidence should be suppressed. (more) A Closer Look at Rajaratnam's Civil Defense
Beazer Homes Discloses Well Notice to CEO
Beazer Homes Discloses Well Notice to CEO
securitiesdocket.com — Beazer Homes disclosed today in a Form 8-K filed with the SEC that on November 13, 2009,... the staff of the SEC issued a Wells notice to the Company’s CEO, Ian J. McCarthy. The Wells notice indicated that the staff intends to recommend that the Commission bring a civil action against ... (more) Beazer Homes Discloses Well Notice to CEO
Freddie says TBW-related loss may grow, files claim (Reuters)
news.yahoo.com — Reuters - Freddie Mac, the U.S. mortgage finance giant, said on Monday it is seeking $595 million... in loan payments and other funds hung up after the bankruptcy of lender Taylor, Bean & Whitaker. (more) Freddie says TBW-related loss may grow, files claim  ...
African leaders advise Bono on reform of U2
African leaders advise Bono on reform of U2
aidwatchers.com — Bono thanks Commission chairman Nelson Mandela for the Report An expert commission of African leaders today announced... their plan for comprehensive reform of music band U2. Saying that U2’s rock had lost touch with its African roots, the commission ... (more) African leaders advise Bono on reform of U2
Madoff documents reveal incredulous, unfocused SEC
hf-implode.com — U.S. securities investigators raised repeated concern over how Bernard Madoff could be running an honest business, but... never followed through on the many red flags they uncovered. Hundreds of documents released on Friday by U.S. Securities and Exchange Commission's portray an agency at times ... (more) Madoff documents reveal incredulous, unfocused SEC
Take a Closer Look at the S.E.C. Madoff Exhibits
Take a Closer Look at the S.E.C. Madoff Exhibits
dealbook.blogs.nytimes.com — DealBook is summarizing the most interesting exhibits from the S.E.C.'s Madoff report. Readers are invited to help... us by sorting through the documents themselves and posting interesting findings in the comments. (more) Take a Closer Look at the S.E.C. Madoff Exhibits
EU Commission Asks Those Banksters who Caused Crisis for Solutions, Critics Say
prudentinvestor.blogspot.com — The EU Observer has come up with a very good question: Why are those who caused the... financial crisis are now consulted by the EU Commission in order to come up with a solution? I may add the question: Why are the bonus-greedy destroyers of global prosperity are still on their jobs at all? I ... (more) EU Commission Asks Those Banksters who Caused Crisis for ...
Schwab Creates Watershed Event with Commission-Free ETFs
Schwab Creates Watershed Event with Commission-Free ETFs
investwithanedge.com — Yesterday, November 3, 2009, marked a watershed event for the ETF landscape. It’s the day that Schwab,... absent from the ETF industry for past 16 years, upped the ante for any company thinking about getting into the business. Charles Schwab Investment ... (more) Schwab Creates Watershed Event with Commission-Free ETFs
S.E.C. Appoints Hedge Fund Veteran as Adviser
dealbook.blogs.nytimes.com — The Securities and Exchange Commission on Thursday named Richard Bookstaber, a veteran hedge fund executive whose 2007... book predicted a financial crisis arising from financial derivatives, as a senior policy adviser. (more) S.E.C. Appoints Hedge Fund Veteran as Adviser
Yet Another Budget Commission?
forbes.com — One of these days, Congress needs to raise the federal debt limit. As of Nov. 3, the... debt subject to limit was $11,978 billion--and the limit is $12,104 billion. With the Treasury needing to borrow $26 billion per week to finance this fiscal year's ... (more) Yet Another Budget Commission?
SEC’s Luis Mejia to Join DLA Piper in D.C.
SEC’s Luis Mejia to Join DLA Piper in D.C.
securitiesdocket.com — Luis R. Mejia, Chief Litigation Counsel of the Division of Enforcement, will join the law firm of... DLA Piper as a partner in the firm’s Washington, D.C., office. The SEC announced today that Mejia, who has been Chief Litigation Counsel since 2005, will join DLA Piper in December. The ... (more) SEC’s Luis Mejia to Join DLA Piper in D.C.
Antitrust Division Issues Statement on the European Commission’s Decision Regarding the Proposed ...
justice.gov — After conducting a careful investigation of the proposed transaction between Oracle and Sun, the Department’s Antitrust Division... concluded that the merger is unlikely to be anticompetitive. (more) Antitrust Division Issues Statement on the European ...
The Return of Depression Economics and the Crisis of 2008; Financial Fiasco: How America's Infatuation With Homeownership and Easy Money Created the Economic Crisis
The Return of Depression Economics and the Crisis of 2008; Financial Fiasco: How America's ...
foreignaffairs.com — The economic crisis of 2008-9 will no doubt spawn dozens of books. Here are two good early... ones. The Nobel Prize-winning economist Krugman has extensively revised his 1999 book, The Return of Depression Economics , which focused on the emerging-market ... (more) The Return of Depression Economics and the Crisis of ...
Claymore Files For 10 Corporate Bond Funds
indexuniverse.com — Claymore ETF Trust has registered with the Securities and Exchange Commission to launch 10 corporate bond exchange-traded... funds that target a range of specific maturities. They are: • Claymore Corporate Bond 2011 ETF • Claymore Corporate Bond 2012 ETF ... (more) Claymore Files For 10 Corporate Bond Funds