US Securities and Exchange Commission

Type: Organization

Name: US Securities and Exchange Commission (U.S. Securities and Exchange Commission)

Fact Sheet: Fact Sheet for U.S. Securities and Exchange Com...

First reported 14 hours ago - Updated 2 hours ago - 6 reports

Institutional Shareholder Services settles civil charges on leaked data

Institutional Shareholder Services, the Rockville-based company that recommends to institutional investors how they should vote in corporate elections, agreed to pay $300,000 to settle civil charges involving an employee who leaked private client dat ... [Published Washington Post - 6 hours ago]

Entities: US Securities and Exchange Commission, Institutional Investors, Stocks

First reported 12 hours ago - Updated 3 hours ago - 11 reports

Goldman Sachs Group Inc

Former Goldman Sachs Banker To Pay $100000, Accept Ban In 'pay-to-play' Case

A former investment banker at Goldman Sachs Group Inc. (GS: Quote) has agreed to pay a civil penalty of $100,000 and also submit to a five-year ban from the securities industry to settle charges by the Securities and Exchange Commission about his role ... [Published RTTNews.com - 3 hours ago]

Entities: Goldman Sachs Group Inc, Neil Morrison, US Securities and Exchange Commission, Underwriting, Underwriter

First reported 7 hours ago - Updated 4 hours ago - 9 reports

Barack Obama

Obama picks Stein and Piwowar for SEC

President Obama late Thursday nominated two top Senate staffers to fill vacancies expected later this year on the Securities and Exchange Commission.Kara M. Stein, a legal counsel and senior policy adviser to Sen. Jack Reed (D-R.I.), would fill a Democratic ... [Published Washington Post - 4 hours ago]

Entities: US Securities and Exchange Commission, Barack Obama, Jack Reed

First reported 5 hours ago - Updated 4 hours ago - 2 reports

US Securities and Exchange Commission

Obama nominates Senate aides to serve as SEC commissioners

President Barack Obama nominated two U.S. Senate aides on Thursday to serve as members of the Securities and Exchange Commission, the White House said in a statement. ... [Published XE - 4 hours ago]

Entities: US Securities and Exchange Commission, Barack Obama, US Senate

First reported 13 hours ago - Updated 8 hours ago - 4 reports

Lisle's Capital Management Accused of Defrauding Clients

A Securities and Exchange Commission fraud complaint has been filed against Capital Management Associates Inc. of Lisle, an investment advisory firm run by Charles J. Dushek and his son Charles S. Dushek, the Daily Herald reports .According to the paper, ... [Published Lisle Patch - 8 hours ago]

Entities: US Securities and Exchange Commission, Allotment, Allegation

First reported 14 hours ago - Updated 9 hours ago - 11 reports

SEC settles with proxy advisory firm ISS

The U.S. Securities and Exchange Commission (SEC) settled with proxy advisory firm, Institutional Shareholder Services (ISS), after finding that a former employee traded inside information of how clients were voting their proxy ballots for gifts such ... [Published Investment Executive - 9 hours ago]

Entities: US Securities and Exchange Commission, Database, Investigation

First reported May 22 2013 - Updated 14 hours ago - 6 reports

SEC Says South Miami Defrauded Investors

On Wednesday, officials of the U.S. Securities and Exchange Commission said that the city of South Miami, Florida had defrauded investors by not properly informing them about the tax-exempt status of two bond deals. The two deals questioned by the SEC ... [Published JD Journal - 14 hours ago]

Entities: US Securities and Exchange Commission, Municipal Bond, Taxes, Fraud

First reported May 22 2013 - Updated May 23 2013 - 4 reports

Sg Blocks, Inc. Files SEC Form 10-Q, Quarterly Report [Secti. . .

Sg Blocks, Inc. Files SEC Form 10-Q, Quarterly Report [Sections 13 Or 15(D)] (May. 15, 2013)Wholesale Lumber and Other Construction MaterialsNewsRx.comBy a News Reporter-Staff News Editor at Real Estate Weekly News -- According to news reporting originating ... [Published Equities.com - May 23 2013]

Entities: US Securities and Exchange Commission, 10-q, Quarterly Report

First reported May 22 2013 - Updated May 23 2013 - 4 reports

Proassurance Corp. Files SEC Form DEFA14A, Additional Defini. . .

Proassurance Corp. Files SEC Form DEFA14A, Additional Definitive Proxy Soliciting Materials And Rule 14(A)(12) Material (May. 14, 2013)Fire, Marine and Casualty InsuranceNewsRx.comBy a News Reporter-Staff News Editor at Insurance Weekly News -- According ... [Published Equities.com - May 23 2013]

Entities: ProAssurance Corp, US Securities and Exchange Commission, Casualty Insurance, Financial Statement, Birmingham

First reported May 22 2013 - Updated May 23 2013 - 4 reports

Uti Worldwide Inc. Files SEC Form DEF 14A, Other Definitive . . .

Uti Worldwide Inc. Files SEC Form DEF 14A, Other Definitive Proxy Statements (May. 13, 2013)Arrangement of Transportation of Freight and CargoNewsRx.comBy a News Reporter-Staff News Editor at Journal of Transportation -- According to news reporting originating ... [Published Equities.com - May 23 2013]

Entities: UTi Worldwide Inc, US Securities and Exchange Commission, Transportation, Long Beach (California, United States), Financial Statement

First reported May 22 2013 - Updated May 23 2013 - 5 reports

South Miami Settles SEC Claim It Misled Municipal Bond Investors

The Florida city of South Miami misled investors by failing to disclose that it had used tax-exempt bond proceeds to help a developer finance a downtown parking and retail project, according to U.S. regulators.The community in Miami-Dade County with about ... [Published Bloomberg - May 22 2013]

Entities: South Miami (United States), US Securities and Exchange Commission, Municipal Bond

First reported May 22 2013 - Updated May 22 2013 - 4 reports

Mgp Ingredients Inc. Files SEC Form SC 13D, General Statemen. . .

Mgp Ingredients Inc. Files SEC Form SC 13D, General Statement of Acquisition of Beneficial Ownership (May. 9, 2013)Grain Mill ProductsNewsRx.comBy a News Reporter-Staff News Editor at Food Weekly News -- According to news reporting originating from Washington, ... [Published Equities.com - May 22 2013]

Entities: MGP Ingredients Incorporated, US Securities and Exchange Commission, Acquisition, Precipitate, Financial Statement

Quotes

...unworkability of the position in China that any kind of information or access to work papers was somehow a breach of national security," Doty said. "A lot people said that's just nonsense - no one believes that."

U.S. audit regulator reaches deal with China on document access [Published CNBC - 19 mins ago]

...Wynaendts. "Strengthening our IT governance to better coordinate resources and support our businesses is an essential aspect of this new approach."

Aegon Appoints Global Chief Technology Officer PR Newswire [Published Yahoo! Finance - 1 hour ago]

...require you to take responsibility for collecting sales tax from each of your customers and remitting that tax to the appropriate jurisdiction. (I "m told there are thousands of these around the country.) Don't you hate getting that nasty letter from some township in Michigan because you once sold a $10 accessory to someone who lived there and now that customer's local board is demanding the tax owed it? If this law passes, get ready for a lot more of that."

7 ways Washington may affect small business this year [Published WAFF - 1 hour ago]

...seeing a general improvement in business trends, and the evaluations are at a five-year high," said Larry Miller of RBC Capital Markets in Atlanta. "The whole sector is doing well, and average restaurant stocks are up 25 percent in that time frame."

Noodles & Co. files intent for IPO [Published Denver Post - 1 hour ago]

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