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  • WASHINGTON, Jan 12- In their battle to root out microcap stock fraudsters, U.S. securities regulators are turning their attention to the obscure world of transfer agents, who are sometimes in a position to prevent scams, or help to enable them. Transfer agents are back-office businesses hired by companies to keep track of shareholder records and changes in...

  • Huge options buy before Dick's halt nets windfall Thursday, 8 Jan 2015 | 3:51 PM ET
    A Dick's Sporting Goods store on May 20, 2014 in Niles, Illinois.

    Someone made a huge buy of Dick's Sporting Goods options on Wednesday as reports came that the company was mulling going private.

  • Dec 29- Computer Sciences Corp on Monday said it will pay a $190 million penalty and restate three years of results to resolve a U.S. Securities and Exchange Commission civil probe into the information technology company's accounting. Computer Sciences said there were accounting irregularities at its businesses in the Nordic region, Australia and its...

  • S&P deal on mortgage bond ratings near: Report Friday, 26 Dec 2014 | 6:52 AM ET
    Standard & Poors

    Standard & Poor's Ratings Services is nearing a settlement with regulators over how the company graded real-estate bonds.

  • S&P nears settlement on real-estate bond ratings - WSJ Thursday, 25 Dec 2014 | 10:34 PM ET

    Dec 25- Standard& Poor's Ratings Services is nearing a settlement with regulators over their investigation of how the company graded real-estate bonds, the Wall Street Journal reported, citing people familiar with the matter. The proposed deal, which could be reached as early as next month, is a joint settlement with the Securities and Exchange Commission, New...

  • NEW YORK, Dec 23- A plan by the U.S. Securities and Exchange Commission to widen the minimum trading increments of some small-cap stocks to test if that would spur more trading could end up harming mom-and-pop investors, retail brokerages said in letters to the regulator. The potential cost of the program to all investors could be up to $455 million dollars...

  • The SEC said those claims were false, as the algorithm behind the AlphaSector product did not even exist during that seven-year period. The data instead came from applying the algorithm to historical market data, resulting in a hypothetical performance, the SEC said. The SEC separately sued Present in Boston federal court, saying he made false and misleading...

  • Dec 15- Florida lender BankAtlantic Bancorp Inc and its chief executive defrauded investors in 2007, early in the U.S. financial crisis, a federal jury found on Monday. BBX Capital Corp, as BankAtlantic is known today, and Alan Levan, who remains as CEO, were found liable by a federal jury in Miami following a six-week trial in a lawsuit filed by the U.S. Securities and...

  • WASHINGTON, Dec 15- The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife. The SEC's enforcement division sought to dismiss the civil charges against Jordan Peixoto because two crucial witnesses were not available for the March 16, 2015 trial, according to...

  • WASHINGTON, Dec 15- The U.S. Securities and Exchange Commission moved on Monday to dismiss insider-trading proceedings against a man accused of illegally trading in Herbalife. The SEC's enforcement division sought to dismiss the civil charges against Jordan Peixoto because two crucial witnesses were not available for the March 16, 2015 trial, according to...

  • SEC's White: Insider trading ruling 'a concern' Thursday, 11 Dec 2014 | 10:47 AM ET
    Chair of the Securities and Exchange Commission Mary Jo White speaks onstage during The New York Times DealBook Conference at One World Trade Center on December 11, 2014 in New York City.

    SEC Chair Mary Jo White says a landmark ruling that threw out two insider trading convictions is an "overly narrow view" of the law.

  • For insider trading, it's a whole new ballgame Thursday, 11 Dec 2014 | 10:05 AM ET
    Preet Bharara

    An appellate court decision significantly redefined insider trading, and may have altered the course of all further enforcement.

  • *Momo says CEO accused by former employer NetEase. BEIJING, Dec 11- Chinese mobile chat app firm Momo Inc, backed by Alibaba Group Holding Ltd, said its CEO will fight allegations of misconduct and corruption made by his former employer, as it prepares to debut on Nasdaq. In a filing to the U.S. Securities and Exchange Commission on Wednesday, Momo said the allegations...

  • BEIJING, Dec 11- Chinese mobile chat app firm Momo Inc, backed by Alibaba Group Holding Ltd, said its CEO will fight allegations of misconduct and corruption made by his former employer, as it prepares to debut on Nasdaq. In a filing to the U.S. Securities and Exchange Commission on Wednesday, Momo said the allegations against CEO and co-founder Tang Yan by Chinese...

  • New York advisory firm charged with defrauding investors Wednesday, 10 Dec 2014 | 4:54 PM ET

    Dec 10- U.S. federal regulators charged a New York- based investment advisory firm and two co-owners with misleading clients into investing in a risky hedge fund. The Securities and Exchange Commission accused that Timothy Dembski and Walter Grenda of Reliance Financial Advisors misled clients who were retired or nearing retirement and living on fixed...

  • Court overturns major insider trading convictions Wednesday, 10 Dec 2014 | 2:50 PM ET
    File photo: Todd Newman (center) leaving court with his attorney last year.

    A U.S. court vacated the insider trading convictions of former hedge fund managers Todd Newman and Anthony Chiasson.

  • Mark Cuban, Christopher Cox hash out SEC's troubles Wednesday, 10 Dec 2014 | 10:04 AM ET
    Entrepreneur Mark Cuban and former chairman of the SEC, Christopher Cox.

    Mark Cuban, once the target of a big U.S. insider trading probe, met publicly with Christopher Cox, the former SEC chairman, for the first time.

  • Alibaba should not have been allowed in US: Cuban Tuesday, 9 Dec 2014 | 5:29 PM ET
    Mark Cuban thinks Alibaba should not have been allowed to list in the U.S.

    Because Alibaba is based in a communist country, it's difficult to enforce insider trading laws, billionaire investor Mark Cuban said.

  • Mark Cuban: 'Burn' SEC down   Tuesday, 9 Dec 2014 | 3:14 PM ET
    Mark Cuban: 'Burn' SEC down

    Dallas Mavericks owner and "Shark Tank" investor Mark Cuban discusses the candor of former SEC Chairman Christopher Cox at the Market Council Summit, with CNBC's Melissa Lee. Cuban says the SEC needs to start over from scratch.

  • SEC pushing partial S&P rating suspension: Report Monday, 8 Dec 2014 | 4:37 PM ET
    Standard & Poor's headquarters in the financial district of New York.

    The Securities and Exchange Commission is pushing to suspend Standard & Poor's from rating commercial mortgage bonds, according to a report.