securities and exchange commission

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Latest blogosphere posts tagged “securities and exchange commission”

• Lawyer Pleads Guilty to Helping Defraud Hedge Funds

  
  NYT > Theater — Authority: 915
  Robert L. Miller admitted to conspiring to help Marc S. Dreier sell more than $44 million in fictitious securities to hedge funds in November 2008.
  15 hours ago

• Failing the sniff test: Researchers find new way to spot fraud

  
  Science Blog - Science news straight from the source — Authority: 617
  Companies that commit fraud can find innovative ways to fudge the numbers, making it hard to tell something is wrong by just looking at their financial statements.
  23 hours ago

• The Weiner Not-Quite-HR676 Amendment

  
  Corrente — Authority: 618
  John Conyers and Dennis Kucinich are correct, it isnt HR 676 and its not as good as HR 676 . It is however a very good compromise, and for all the incrementalists and political realists out there in TVland, it provides a good foundation to build on. What it is is HR 676 with a chunk of HR 3200 added on at the end, ...
  1 day ago

• The Anonymity Of HFT Whales May Be About To Expire, Together With Their Revenue Streams

  
  zero hedge — Authority: 761
  If you have been wondering why Rentec, GETCO, Citadel and Highbridge are sweating these days, it is because the SEC is preparing to finally remove the rock they all crawl under as they execute millions of trades each and every second. As Traders Magazine reports , "the Securities and Exchange Commission, in an effort ...
  2 days ago

• Sun Micro sales fall, Oracle deal delay stings

  
  Forex and Stock Market information, MMO, SEO and IT guide — Authority: 124
  Computer maker Sun Microsystems Inc (JAVA.O) suffered a 25 percent fall in quarterly revenue, as uncertainty over its delayed sale to Oracle Corp (ORCL.O) hurt its business. Lower operating expenses helped Sun Microsystems curb its fiscal first quarter loss to $120 million, or 16 cents a share compared with $1.68 ...
  3 days ago

• Editorial: Investors Beware

  
  NYT > Theater — Authority: 915
  President Obama and his aides need to do a lot more to close the regulatory gaps that allowed the financial system to spin dangerously out of control.
  3 days ago

• Why Abolishing or Weakening Sarbanes-Oxley is Insane! Lessons from the Crazy Eddie Fraud

  
  White Collar Fraud — Authority: 508
  A message to any Democrat, Republican, or Independent lawmaker who is thinking of abolishing or weakening the Sarbanes-Oxley Act of 2002. As a convicted felon, who committed his crimes in cold blood and with callous disregard for my victims, I will publicly endorse each and every one of you as a champion of the ...
  3 days ago

• S.E.C. Appoints Hedge Fund Veteran as Adviser

  
  DealBook — Authority: 782
  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.
  3 days ago

• High & Low Finance: Goodbye To Reforms Of 2002

  
  NYT > Theater — Authority: 915
  Congress is apparently gutting Sarbanes-Oxley, which required public companies to make sure their internal controls against fraud were not full of holes.
  4 days ago

• No more Sarb-Ox for small business?

  
  David Kirkpatrick — Authority: 144
  This should be welcome news . From the link: Small businesses would be granted a permanent reprieve from complying with part of the Sarbanes-Oxley corporate reform laws, under a draft U.S. House of Representatives bill discussed on Tuesday. Small companies have not had to comply fully with the rules since the ...
  4 days ago

• Further arrests in US insider trading inquiry

  
  Family: News and advice on family matters children and parents — Authority: 975
  The US investigation into insider trading in Americas hedge fund community deepened as federal agents charged 14 more defendants with running a previously undetected ring and added 13 additional individuals and companies to the original charges against Galleon Group.
  4 days ago

• UUP Halted - Issuing 100,000,000 New Shares To Meet Onslaught Of 100 Quintillion New Dollars (Give Or Take)

  
  zero hedge — Authority: 761
  From Business Wire DB Commodity Services LLC today announced it has filed a registration statement with the US Securities and Exchange Commission (SEC) to register 100,000,000 additional shares of PowerShares DB US Dollar Index Bullish Fund (NYSE Arca: UUP) in order to meet investor demand . Creations of new ...
  4 days ago

• When Will the S.E.C. Ever Admit They Made a Mistake?

  
  DealBook — Authority: 782
  Thats the question from a lawyer whose client was acquitted in a stock scheme and won an order for the S.E.C. to pay legal fees -- a ruling the agency is contesting.
  4 days ago

• S.E.C. Chief Wants Better Shareholder Voting

  
  NYT > Theater — Authority: 915
  The top U.S. securities regulator called on corporate America to upgrade its proxy voting practices to ensure shareholders a greater voice in governing the companies they own.
  5 days ago

• Committee Allows a Break on Certain Auditing Rules

  
  NYT > Theater — Authority: 915
  The House tackled legislation that addresses investors and the effort by some credit card companies to raise rates before a new law goes into effect.
  5 days ago

• Goldman Reaps Over $100M A Day On 36 Days in Q3

  
  Wall Street Pit — Authority: 648
  Goldman Sachs (GS) generated more than $100 million in trading revenue on 36 days in the three months to September and raked in more than $50 million in profit on more than eight out of 10 trading days,  Bloomberg reported on Wednesday.The performance – revealed in a regulatory filing with the...
  5 days ago

• J.P. Morgan Settles Alabama Bribery Case

  
  NYT > Theater — Authority: 915
  Larry Langford, a former public official, was convicted in the case.
  5 days ago

• U.S. regulators looking at shareholder anonymity

  
  PogoWasRight.org — Authority: 147
  Emily Chasan reports: The U.S. Securities and Exchange Commission is exploring reforms that could provide companies with more information about the identity of their shareholders, a top agency official said on Wednesday. Companies usually have little information about stockholders due to long-standing practices ...
  5 days ago

• Value Line Pays $45 Million to Settle Fraud Case

  
  NYT > Theater — Authority: 915
  The S.E.C. accused the company and former executives of charging more than $24 million in bogus commissions on phantom trades and brokerage services.
  5 days ago

• SEC smacks JPMorgan Chase with $700 million fine

  
  George S. May Business Blog — Authority: 133
  My, oh my, this is quite a large fine. I wonder though, should JPMorgan fail to pay the fine on time, will the SEC hit them with a late fee? Or what if JPMorgan can’t pay it? Another bailout?From the Huffington Post:WASHINGTON — JPMorgan Chase & Co. has agreed to a settlement worth more than [...]
  5 days ago

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