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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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*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.
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*Announces registration statement for Sprint transaction declared effective by. *Continues to work closely with Sprint on receiving remaining government. *Believes agreement with Sprint creates greater value for Sprint than.
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An SEC investigation into stock trading after a leak involving a government decision is a "very gray area," former SEC attorney Jacob Frenkel tells CNBC.
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The case in question deals with a Washington, DC political intelligence firm which alerted clients of a pending government decision favoring health insurers. Jacob Frenkel, Schulman Rogers partner, discusses what constitutes insider trading.
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WASHINGTON, May 1- The Securities and Exchange Commission proposed new rules on Wednesday for the over-the-counter derivatives business of foreign banks, with the U.S. regulators saying they hoped the plan could provide a road map to resolve a brewing international conflict over how to regulate the $640 trillion market.
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WASHINGTON, May 1- The Securities and Exchange Commission proposed new rules on Wednesday for the over-the-counter derivatives business of foreign banks, with the U.S. regulators saying they hoped the plan could provide a road map to resolve a brewing international conflict over how to regulate the $640 trillion market.
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NEW YORK, April 30- Billionaire investor Carl Icahn increased his stake in speech recognition and digital imaging software maker Nuance Communications Inc from 9.27 percent to 10.72 percent, a filing with the Securities and Exchange Commission showed on Tuesday.
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April 30- Gerson Lehrman Group, the country's largest expert network firm, has hired a U.S. Securities and Exchange Commission enforcement attorney to serve as its chief compliance counsel, the company confirmed on Tuesday.
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By Herbert Lash NEW YORK, April 30- The New York Stock Exchange. The U.S. Court of Appeals for the District of Columbia Circuit said Congress, in enacting Dodd-Frank, eased the review process the Securities and Exchange Commission had followed when the exchanges filed for new data fees. "We're pleased with the decision," said SEC spokesman John Nester.
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*Medical Capital shut down after SEC sued for fraud. The lawsuit stemmed from the collapse of medical receivables financing company Medical Capital Holdings Inc. The U.S. Securities and Exchange Commission sued Medical Capital and two executives for fraud in July 2009, and the company was soon shut down.
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By Herbert Lash NEW YORK, April 30- The New York Stock Exchange. The U.S. Court of Appeals for the District of Columbia Circuit said Congress, in enacting Dodd-Frank, eased the review process the Securities and Exchange Commission had followed when the exchanges filed for new data fees. "We're pleased with the decision," said SEC spokesman John Nester.
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By Herbert Lash NEW YORK, April 30- The New York Stock Exchange. The U.S. Court of Appeals for the District of Columbia Circuit said Congress, in enacting Dodd-Frank, removed a requirement that the Securities and Exchange Commission review certain filings by the exchanges for new market data fees.
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MILAN, April 30- Italian truck and tractor maker Fiat Industrial is in the process of filing the paperwork for permission to list shares in the U.S., said the company's chairman on Tuesday. Fiat Industrial, which was spun off from its sister company Fiat in 2011, plans to merge with its U.S. unit CNH to create the world's third-largest capital goods group.
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WASHINGTON, April 30- A group of 37 federal lawmakers urged U.S. securities regulators to prohibit Wall Street brokers from forcing customers to sign away their legal right to sue. The 2010 Dodd-Frank Wall Street reform law gives the SEC the authority to scale back or prohibit the use of arbitration agreements, but the agency has not exercised that power.
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The exit COO Frank Bisignano from JPMorgan heightens worries about persistent executive turnover and raises new questions about who may succeed Jamie Dimon. The NYT reports.
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The bonds were issued to refinance debt for airport hangar construction and other redevelopment projects, according to the SEC, which filed its complaint in the U.S. District Court for the Central District of California. The SEC is seeking the return of ill-gotten gains and other penalties from all defendants.
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*Illegal trades alleged in Dell, Nvidia. WASHINGTON/ NEW YORK, April 29- Level Global Investors LP agreed to pay $21.5 million to settle U.S. Securities and Exchange Commission civil charges that its co-founder and an analyst engaged in insider trading, in a case that caused the demise of the hedge fund firm.
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*Illegal trades alleged in Dell, Nvidia. WASHINGTON/ NEW YORK, April 29- Level Global Investors LP agreed to pay $21.5 million to settle U.S. Securities and Exchange Commission civil charges that its co-founder and an analyst engaged in insider trading, in a case that caused the demise of the hedge fund firm.
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WASHINGTON, April 29- The now-defunct Connecticut- based hedge fund Level Global Investors LP has agreed to pay more than $21.5 million to settle civil insider-trading charges, the U.S. Securities and Exchange Commission said on Monday.
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WASHINGTON, April 29- The U.S. Securities and Exchange Commission on Monday charged the California city of Victorville, along with an airport authority, a city official and underwriters Kinsell, Newcomb& De Dios, with defrauding investors by inflating the value of the property used to secure a 2008 bond offering.