Business software provider RedPrairie files with SEC for initial public offering RedPrairie Holding Inc., a business software provider, said Thursday it filed a ...
WASHINGTON (Reuters) - U.S. regulators are increasingly looking beyond stocks in their insider trading investigations to examine derivatives and credit default swaps, a ...
New wrinkle in insider-trading probe of Pequot hedge fund raises questions on SEC case A new development related to the government's investigation of possible insider trading at a major hedge fund has raised questions in the case and caught the attention of ...
SEC watchdog says agency must tighten process for picking which investment advisors to inspect The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns like the one that allowed ...
Earlier this year, Delaware adopted new legislation making it easier for shareholders to put forward nominees for a company's board of directors. The Securities and Exchange Commission [SEC] proposed similar changes to the federal proxy rules. Under the SEC proposals, shareholders holding ...
Federal investigators sought e-mail, other documents about former NM state investment officer The Securities and Exchange Commission subpoenaed former state Investment Officer Gary Bland to testify as part of an investigation into public investment funds in New Mexico, according to documents released ...
Fla. investment panel raps its executive director over SEC probe but then rehires him Gov. Charlie Crist and two Cabinet members who sit on a panel that invests state money chastised their top staffer for failing to keep them updated on a ...
SEC charges former executives at chipmaker Tvia with inflating financial results The Securities and Exchange Commission said Tuesday it has charged former executives at semiconductor company Tvia Inc. with improperly inflating the company's revenue. The SEC said Santa Clara, Calif.-based Tvia's former ...
WASHINGTON - NOVEMBER U.S. Treasury Secretary Timothy Geithner and Securities and Exchange Commission Director of Enforcement Ron Khuzami attend a news conference at the Justice Department announcing the formation of a financial fraud task force November 17, 2009 in Washington, DC. The ...
WASHINGTON (Reuters) - The Obama administration created a new task force on Tuesday to crack down on financial fraud, an increasingly important political issue after a spike in mortgage scams and big Wall Street trading scandals. President Barack Obama signed an executive ...
Boots & Coots files $250M shelf registration with SEC but no current plans to sell shares Boots & Coots Inc., an oil and gas exploration company, said Tuesday it has filed a universal shelf registration statement with the Securities and Exchange Commission ...
WASHINGTON (Reuters) - Congress ought to clarify if a proposed super-regulator of the U.S. financial system should be an overlapping overseer of securities and futures exchanges, the chief futures regulator said on Tuesday. Chairman Gary Gensler of the Commodity Futures Trading Commission ...
