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  • WASHINGTON, April 17- A former 20- year veteran of BP plc who oversaw the company's cleanup efforts from the Deepwater Horizon oil spill will pay more than $224,000 to settle civil charges alleging he used non-public information about the disaster to commit insider-trading, U.S. regulators said on Thursday.

  • U.S. SEC releases cyber security examination blueprint Wednesday, 16 Apr 2014 | 5:02 PM ET

    The SEC also plans examinations of more than 50 firms that will focus on cyber security-specific issues. John Reed Stark, the SEC's former chief of Internet enforcement and now a managing director with digital risk management consultancy Stroz Friedberg, said the SEC's detailed list of questions is both unusual and "forward-thinking."

  • April 15- Associated Materials Group Inc, a maker of home-building products, said on Tuesday it had decided to withdraw its plans for an initial public offering. Last July, the company, owned by buyout firm Hellman& Friedman LLC, filed with the U.S. Securities and Exchange Commission for an IPO of up to $100 million.

  • Energy Future Holdings misses filing deadline Tuesday, 15 Apr 2014 | 12:25 PM ET

    FORT WORTH, Texas— Energy Future Holdings is still not ready to file its already delayed annual report, the company said in a filing Tuesday with the federal Securities and Exchange Commission.

  • Court overturns 1 SEC conflict minerals provision Monday, 14 Apr 2014 | 5:19 PM ET

    While overturning the disclosure requirement, the court rejected industry arguments that the SEC must conduct rigorous, quantitative economic analysis on the costs and the benefits of the conflict minerals rule.

  • AT&T trims stake in Slim's America Movil Friday, 11 Apr 2014 | 5:49 PM ET

    MEXICO CITY, April 11- AT&T has sold more than 300 million shares in billionaire Carlos Slim's America Movil, following up on other sales last year, a filing with the U.S. Securities and Exchange Commission showed on Friday.

  • The talks within the SEC are at an early stage, and the pilot program would need to be approved by the full five-member commission, as part of an order instructing the public exchanges to carry out the study. The results of any pilot would have to be effective enough to prompt the SEC to change its market rules.

  • HP pays $108M to settle DOJ, SEC corruption probes Wednesday, 9 Apr 2014 | 1:12 PM ET
    The company's HP Enterprise Services unit in Plano, Texas

    Hewlett-Packard will pay $108 mln a to settle a DOJ and SEC investigation into potential violations of the Foreign Corrupt Practices Act.

  • HP pays $108 mln to settle DOJ, SEC corruption probes Wednesday, 9 Apr 2014 | 12:42 PM ET

    SAN FRANCISCO, April 9- Hewlett-Packard will pay $108 million and agreed to take on certain reporting and compliance obligations to settle a Justice Department and SEC investigation into potential violations of the Foreign Corrupt Practices Act.

  • CVS to pay $20M to settle SEC charges Tuesday, 8 Apr 2014 | 6:25 PM ET

    CVS agreed to pay $20 million to settle U.S. Securities and Exchange Commission charges that it misled investors about significant financial setbacks.

  • CVS settles SEC investigation for $20 million Tuesday, 8 Apr 2014 | 3:05 PM ET

    CVS Caremark has finalized a $20 million settlement with the Securities and Exchange Commission over accusations that the company misled investors and used improper accounting to boost its performance several years ago.

  • The SEC, which announced the settlement on Tuesday, said CVS failed while marketing a $1.5 billion bond offering in September 2009 to disclose having recently lost significant Medicare and contract revenue streams in its pharmacy benefits manager business, including from the former Caremark Rx Inc that it bought in March 2007.

  • WASHINGTON, April 8- U.S. securities regulators should not be so quick to scale back the power of the states to police certain smaller public stock deals, a top U.S. Securities and Exchange Commission official warned on Tuesday.

  • CVS to pay $20 mln to settle SEC charges Tuesday, 8 Apr 2014 | 1:22 PM ET

    April 8- CVS Caremark Corp agreed to pay $20 million to settle U.S. Securities and Exchange Commission charges that it misled investors about significant financial setbacks and used improper accounting to artificially boost its results. The Woonsocket, Rhode Island- based company did not admit or deny wrongdoing in agreeing to settle.

  • Coal miner L&L Energy's CEO Lee quits Tuesday, 8 Apr 2014 | 6:32 AM ET

    April 8- L&L Energy Inc Chief Executive Dickson Lee resigned, the coal miner said in a regulatory filing on Tuesday, less than three weeks after the U.S. Securities and Exchange Commission accused the company of fraud. The regulator had accused L&L Energy and its founder, Lee, of making false disclosures about who was running the company.

  • The SEC regularly examines a wide range of financial institutions including brokerages and clearing houses to ensure compliance with federal securities laws. The SEC already has examiners who specialize in funds, but historically the agency has focused on public asset managers such as mutual funds that have been highly regulated since 1940..

  • In its case, the U.S. Securities and Exchange Commission said 37- year-old Joseph Dondero, a co-owner of a New Jersey- based trading firm called Visionary Trading LLC, routinely engaged in spoofing.

  • So far only Ontario and British Columbia have signed on to the new regime, which provinces are not required to join. Ottawa has tried for decades to persuade Canada's 10 provinces and three territories to create a national regulator similar to the U.S. Securities and Exchange Commission.

  • WASHINGTON, April 2- Criticism is rising within the U.S. Securities and Exchange Commission over the structure of a new regulatory body that assesses risk in the financial markets, with some commissioners saying they are being wrongfully excluded from the group's critical decision-making process.

  • On Monday, the FBI confirmed it has been conducting a wide-ranging probe into high-speed trading for months, an outgrowth from the years-long crackdown on insider-trading.

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