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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 did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.
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The city did not pay any monetary penalty as part of the settlement and the SEC did not name any particular individuals. She declined to say whether the SEC will consider charging any individuals in the Harrisburg case.
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Harrisburg, which is under state receivership after its finances became mired by a scheme to upgrade a trash incinerator, agreed to settle the charges without admitting or denying the findings, the SEC said. The SEC said It was the first time it has charged a municipality for making misleading statements outside of securities disclosure documents.
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Harrisburg, which is under state receivership after its finances became mired by a scheme to upgrade a trash incinerator, agreed to settle the charges without admitting or denying the findings, the SEC said. The SEC said It was the first time it has charged a municipality for making misleading statements outside of securities disclosure documents.
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The SEC has charged the city of Harrisburg, PA for making fraudulent public statements, with CNBC's Scott Cohn.
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May 3- U.S. state securities regulators on Friday urged the SEC to prohibit Wall Street brokerages from requiring customers to settle legal disputes through arbitration, which prevents customers from going to court, joining a chorus of groups opposing such clauses.
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The parent company of Union Center National Bank said Vincent Tozzi is resigning as Chief Financial Officer of Center Bancorp and UCNB from May 31.
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In her first speech as SEC chief to the mutual fund industry, Mary Jo White did not provide details about the biggest regulatory threat to the fund companies.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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WASHINGTON, May 3- The top U.S. securities regulator remained tight-lipped on Friday about the details of her agency's efforts to craft reforms for money market funds, probably disappointing an audience of fund industry executives who gathered in Washington for an annual conference.
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Newly-confirmed SEC chairman Mary Jo White made her first speech to the investment community at the Investment Company Institute, reports CNBC's Eamon Javers
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The parent company of Union Center National Bank said Vincent Tozzi is resigning as Chief Financial Officer of Center Bancorp and UCNB from May 31.
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Shareholder reports issued by Northern Lights Fund Trust and the Northern Lights Variable Trust misrepresented or omitted details the trustees considered in approving investment advisory contracts, the Securities and Exchange Commission said.
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The two trusts included as many as 71 series of mutual funds, the SEC said. The SEC's action stemmed from a broad sweep to review fee arrangements in the fund industry by the agency's asset management investigative unit.
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The alert follows by almost two years a period in which the SEC filed a string of civil fraud cases related to oil and gas private placements. But an SEC spokesman said the issues they present are ongoing, adding: "The alert wasn't prompted by any particular case or series of cases."
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The alert follows by almost two years a period in which the SEC filed a string of civil fraud cases related to oil and gas private placements. But an SEC spokesman said the issues they present are ongoing, adding: "The alert wasn't prompted by any particular case or series of cases."
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Trustees of Northern Lights Fund Trust and the Northern Lights Variable Trust misrepresented or omitted factors before approving investment advisory contracts, the Securities and Exchange Commission said on Thursday.
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*SEC subpoenas DC firm, analyst, lobbyist targeted-report. The U.S. Securities and Exchange Commission has subpoenaed an analyst with Height Securities, and Mark Hayes, a lobbyist who advised the capital markets firm, as well as Hayes' law firm Greenberg Traurig, The Washington Post reported, citing sources who could not be named because of the investigation.