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.240x180.jpg?v=1362070822 "ISS Settles Charges With SEC")
Institutional Shareholder Services will pay $300,000 to settle civil charges that one of its employees shared sensitive nonpublic information about clients, the SEC says.
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The New York- based company said it was cooperating with the request in the May 6 subpoena. A spokeswoman for the U.S. Attorney's Office in New York also declined to comment. Attorney for the Southern District of New York, was noted briefly in the company's annual 10- k filing with the Securities and Exchange Commission.
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Obama's decision to nominate them roughly one month after SEC Chairwoman Mary Jo White was sworn in signals the administration is anxious to ensure the agency will have a full, five-member commission to complete its busy rulemaking agenda. The SEC is trying to complete rules required by the 2010 Dodd-Frank Wall Street reform law.
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WASHINGTON, May 23- 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. Kara Stein, who works for Democratic Senator Jack Reed of Rhode Island, would replace Democrat Elisse Walter.
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.160x105.jpg?v=1362070822 "Proxy Advisory Firm ISS Settles Charges With SEC")
Institutional Shareholder Services will pay $300,000 to settle civil charges that one of its employees shared sensitive nonpublic information about clients, the SEC says.
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WASHINGTON, May 23- Former Goldman Sachs banker Neil Morrison agreed to pay $100,000 to settle charges for his role in a pay-to-play scheme involving a Massachusetts gubernatorial campaign, the largest such penalty paid by an individual, the U.S. Securities and Exchange Commission said on Thursday.
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The city settled without admitting or denying the SEC allegations. Because the city loaned proceeds from the first offering to a private developer and restructured a lease agreement related to the parking structure before the second sale, it put the tax-exempt status of both bond deals in jeopardy, the SEC said.
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*SEC warns municipalities not to gloss over financial health. When on May 6 the SEC charged the cash-strapped capital city of Pennsylvania, it effectively put officials across the country on notice that even political statements like annual state of the city addresses must not overstate financial conditions.
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*Democratic Party primary is on Tuesday. But unlike most cities, Harrisburg's financial troubles have thrust it into the national spotlight, most recently with a slap from the U.S. Securities and Exchange Commission for fraud.
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NEW YORK, May 17- Pension and endowment managers on Friday called on U.S. regulators to review the rules for shareholder voting after a firm collecting ballots for JPMorgan Chase& Co cut off the bank's opponents from polling information.
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SAC said it may not be able to provider investors with frequent updates regarding the government insider-trading probe but there will be "more clarity" soon.
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NEW YORK, May 17- Pension and endowment managers on Friday called on U.S. regulators to review the rules for shareholder voting after a firm collecting ballots for JPMorgan Chase& Co cut off polling information to the bank's opponents.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street. U.S. law already requires the SEC to consider the impact regulations would have on competition, efficiency and capital formation.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street. U.S. law already requires the SEC to consider the impact regulations would have on competition, efficiency and capital formation.
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WASHINGTON, May 17- A divided U.S. House of Representatives on Friday passed a Republican-sponsored bill that would force federal securities regulators to conduct more economic analysis before adopting rules for Wall Street.
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WASHINGTON, May 17- A divided U.S. House of Representatives passed a bill on Friday that would force federal securities regulators to conduct more economic analysis before adopting rules, in the latest partisan dispute over new rules of the road for Wall Street.
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NEW YORK-- Tesla Motors shares fell Friday as the electric car maker increased the size of its stock and note sales by nearly 17 percent. THE SPARK: Tesla disclosed in a regulatory filing that it now plans to sell 3.39 million shares in a public offering, and has priced them at $92.24 each, according to the filing with the Securities and Exchange Commission.
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Republicans on the House Financial Services Committee pressed the issue, saying they did not want the SEC to wade into politically charged rulemaking, especially after the recent revelation that the Internal Revenue Service targeted conservative groups.
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Hedge fund managers and investment gurus have to notify the SEC about their moves every quarter. Investors pore over this data in the belief the big fish have special insight.
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Stephen Cohen, SEC associate director; and Emile Werr, NYSE, discuss the tools used to ensure fairness of the markets and nab insider traders.
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*Jamil Bouchareb, Daniel Corbin settle civil cases. Jamil Bouchareb agreed to pay about $1.05 million and fellow trader Daniel Corbin agreed to pay about $191,000 in disgorged profit plus interest to settle the SEC's civil cases, after having previously pleaded guilty to related criminal charges.