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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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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.
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In a May 14 letter to the heads of the Federal Reserve, the Securities and Exchange Commission and the Justice Department, Massachusetts Democratic Senator Elizabeth Warren asks the agencies to provide her with details of how they weigh the costs and benefits of settling versus trying cases.
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In a May 14 letter to the heads of the Federal Reserve, the Securities and Exchange Commission and the Justice Department, Massachusetts Democratic Senator Elizabeth Warren asks the agencies to provide her with details of how they weigh the costs and benefits of settling versus trying cases.
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In impassioned speeches during a public roundtable Tuesday at the U.S. Securities and Exchange Commission, Minnesota Democrat Al Franken and Mississippi Republican Roger Wicker accused the big three rating agencies of issuing shoddy ratings, and blamed the problems on the "issuer-pay" model in which the firms are paid by the companies they rate.
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Fidelity Investments received permission from U.S. regulators to open its own actively managed exchange-traded funds.
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Boston- based Fidelity in December filed an application to set up a series of actively managed ETFs with the Securities and Exchange Commission, and the agency approved the request last week, spokesman Jeff Cathie said.