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  • Aug 21- Citigroup Inc has been sending hedge fund firms letters informing them that it cannot sell investments in hedge funds and private-equity funds to clients after a deal with the U.S. Securities and Exchange Commission, the Wall Street Journal reported.

  • Representative Jeb Hensarling, who leads the House of Representatives' Financial Services Committee, said in the letter to SEC Chair Mary Jo White that the leaks raised questions about who attends closed agency meetings and hurt the SEC's ability to enforce securities laws.

  • Icahn discloses Hertz stake, plans talks with co. Wednesday, 20 Aug 2014 | 4:54 PM ET

    NEW YORK— Activist investor Carl Icahn has taken an 8.5 percent stake in Hertz, saying he plans to have talks with the rental car company and may seek representation on its board. In a filing with the Securities and Exchange Commission, Icahn said he wants to talk about accounting issues, operating problems and his lack of confidence in company management.

  • Aug 19- Southeastern Grocers LLC, which operates supermarket chains Winn-Dixie and BI-LO, said on Tuesday it would withdraw its plans for an initial public offering. The Jacksonville, Florida- based company filed with the U.S. Securities and Exchange Commission in September for an IPO of up to $500 million.

  • GameStop CEO treated for cancerous brain tumor Tuesday, 19 Aug 2014 | 10:24 AM ET

    NEW YORK— GameStop Corp. said Tuesday that its CEO, Paul Raines, had surgery last week to remove a cancerous brain tumor. The prognosis for a full recovery is "very good," GameStop said in a filing with the Securities and Exchange Commission.

  • Aug 15- U.S. regulators are investigating the auditor of Cynk Technology Corp, the social media company that was briefly worth more than $6 billion in June before its shares plummeted, the Wall Street Journal reported, citing people close to the probe.

  • Buffett's firm invests in Charter Communications Thursday, 14 Aug 2014 | 5:06 PM ET

    OMAHA, Neb.— Billionaire Warren Buffett's company has revealed a new stake in Charter Communications Inc. and made several other tweaks to its $108 billion U.S. stock portfolio. Berkshire Hathaway Inc. filed an update on its portfolio with the Securities and Exchange Commission Thursday.

  • Aug 14- U.S. securities regulators are looking at the hostile takeover bid made by billionaire investor William Ackman and Valeant Pharmaceuticals for Botox maker Allergan Inc, a person familiar with the matter said on Thursday.

  • The SEC said Toth called his financial advisor and arranged to buy 5,000 shares of O'Charley's after his client revealed the impending acquisition during a tax-planning meeting. Nash bought 10,000 shares, while Schlossberg tipped his business partner, Moshe Manoah, and the two of them jointly bought stock using an account held by Manoah's wife, the SEC said.

  • The New York- based firm, which ceased acting as a broker-dealer in April 2013, has agreed to pay $14 million to settle the charges, the SEC said in a statement. The SEC said on Thursday brokers at the firm defrauded customers by promising very low commission fees, but charging fees that in some cases were more than 1,000 percent greater than represented, the SEC said.

  • Aug 14- A hostile takeover bid by billionaire investor William Ackman and Valeant Pharmaceuticals International Inc to acquire Allergan Inc is being investigated by federal regulators for possible violations of securities laws, the Wall Street Journal reported, citing people familiar with the matter.

  • The Dow Jones is reporting the SEC is in early stages of investigating Valeant and Pershing Square's pursuit of Allergan. CNBC's Scott Wapner has the details.

  • DJ: SEC looking into pursuit of Allergan     Thursday, 14 Aug 2014 | 1:31 PM ET

    The Dow Jones is reporting the SEC is investigating Valeant and Pershing Square's pursuit of Allergan. CNBC's Scott Wapner has the details.

  • The trustee Irving Picard contended last month that Andrew and Mark Madoff obstructed a 2005 U.S. Securities and Exchange Commission probe by deleting emails that linked them to fraud at Bernard L. Madoff Investment Securities LLC, and took out sham loans to buy pricey Manhattan apartments.

  • SEC examining 'alternative' mutual funds Tuesday, 12 Aug 2014 | 7:16 PM ET

    The Securities and Exchange Commission has disclosed that it's conducting a "national sweep exam" of so-called alternative mutual funds, focusing in a first phase on 15 to 20 groups of funds. The SEC official who heads the agency's investment fund division says the review looks at the funds' ready assets and oversight of them by fund boards.

  • Kansas, which was under investigation for four years, has already implemented reforms in how it discloses its pension liabilities and has agreed to settle the charges for its prior incomplete disclosures, without admitting or denying the charges, the SEC said.

  • WASHINGTON, Aug 11- The U.S. Securities and Exchange Commission said on Monday it has charged Kansas with fraud for not properly disclosing funding problems with its public pension plan, in the third time the federal regulator has taken action against a state.

  • US agency warns consumers about Bitcoin risks Monday, 11 Aug 2014 | 12:12 PM ET

    The Consumer Financial Protection Bureau said Monday that it will begin fielding complaints from people who rely on products such as Bitcoin and online exchanges for such currencies. The Securities and Exchange Commission previously issued an investor alert about Ponzi schemes involving virtual currencies.

  • Aug 8- The chief executive of a New York brokerage was criminally charged on Friday with lying to the U.S. Securities and Exchange Commission and faking documents to disguise how his firm did not have enough capital. Charles Moore, 62, was arrested Friday morning at the offices of his firm, Crucible Capital Group Inc, in downtown Manhattan, U.S.

  • The SEC in 2010 approved the rule, which prohibits investment advisers from making campaign contributions in the hope of being awarded lucrative contracts to manage public pension funds, a practice known as "pay to play". The SEC declined to comment on the lawsuit.