U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 22974 / April 17, 2014 Securities and Exchange Commission v. , Civil Action No. 1:14-cv-11858-DJC (United States District Court for the District of Massachusetts) SEC Halts Pyramid ... SEC, 3 days ago
Keith A. Seilhan - SEC, 3 days ago
"SEC Proposes Security-Based Swap Recordkeeping, Reporting and Notification Requirements and Capital Rules for SEC Registrants"
On April 17, 2014, the Securities and Exchange Commission (SEC) proposed new regulations that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The ...JD Supra, 2 days ago Federal watchdog says SEC security issues put financial data at risk SC Magazine US, 2 days ago
United States regulator Securities and Exchange Commission has asked an appeals court to affirm a district court's decision that India-born former Goldman Sachs director Rajat Gupta pay a $13.9 million penalty and be banned for life from serving as director of a public corporation. The federal regulator has filed a brief in the US court of appeals for the second circuit, saying the district court acted well within its discretion by permanently barring Gupta from associating with brokers, ...Rediff.com, 4 weeks ago Update on CoreValve Federal District Court Ruling; Court Agrees to Expedited Appeal EuroInvestor, 5 minutes ago
NEW YORK, April 17 (UPI) -- The Securities and Exchange Commission charged a former BP employee with insider trading, for offloading his stock portfolio using confidential information relating to the Deepwater Horizon spill. Keith A. Seilhan, who ...UPI, 3 days ago Former-BP exec sold $1M in stock at height of spill disaster New York Post, 1 day ago BP Manager In Charge of Cleaning Up the Gulf Oil Spill Dumped BP Stock Before the Severity of Spill Was Discovered Zero Hedge, 2 days ago SEC Charges Former BP Employee With Insider Trading During The Deepwater Horizon Oil Spill Mondo Visione, 3 days ago
- Karachi—The Chairman Securities and Exchange Commission of Pakistan (SECP) Tahir Mahmood has said that the SECP has been remaking its Standard Operating Procedures (SOPS) and procedures to ease the regulatory compliance. He was addressing a ...Pakistan Observer, 1 day ago
The Securities and Exchange Commission has announced it filed charges on April 15, 2014, against TelexFREE, Inc. and TelexFREE, LLC (TelexFREE), accusing the companies of orchestrating a massive pyramid scheme that targeted Dominican and Brazilian ...Forbes.com, 3 days ago SEC freezes assets of TelexFree and associates in wake of alleged billion-dollar fraud Boston Globe, 3 days ago SEC Charges Brokerage Firm Executives in Kickback Scheme to Secure Business of Venezuelan Bank Funds Society, 4 days ago
Out Of Control: SEC Says Lack Of Internal Controls Led To HP Paying More Than $108 Million To Settle FCPA Actions
On April 9, 2014, the Securities and Exchange Commission announced that Hewlett-Packard had agreed to pay more than $108 million to settle Foreign Corrupt Practices Act actions brought by the SEC and the Department of Justice. These actions were ...JD Supra, 4 days ago HP pays $108 million to settle foreign bribery probes Economic Times, 1 week ago HP to pay $108 million in US to settle bribery probes i24news, 3 days ago
ShopClues Founder and former CEO Sandeep Aggarwal has been barred from trading by Securities Exchange Commission (SEC). He had pleaded guilty to insider trading charges in November 2013 in a federal court fortipping Richard Lee, a former SAC Capital portfolio ...Medianama, 2 months ago
GAO Audit Identifies Breakdown in Process at the Commission Thomas Bayer Securities and Exchange Commission CIO Thomas Bayer fesses up that the SEC could have done a better job keeping track of information security-related work performed by ...Data Breach Today, 2 days ago SEC CIO: Vendor Management Must Improve Government Info Security, 2 days ago
With the federal government considering building an information-sharing platform for retailers, the National Retail Federation took some steps of its own in that direction this week. It's an idea whose time has come, apparently. With the ...Associations Now, 4 days ago National Retail Federation Announces Information-Sharing Platform Convenience Store Decisions, 5 days ago
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