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  1. Advertising company Outbrain files for possible Nasdaq listing -WSJ

    Headlines

    Thu, 27 Nov 2014

    Nov 27 (Reuters) - Advertising company Outbrain Inc filed confidentially with the U.S. Securities and Exchange Commission in November seeking preliminary approval to list on the Nasdaq Stock Market,...

  2. Bank of America granted short-term waiver from SEC for hedge fund transactions

    Headlines

    Tue, 25 Nov 2014

    Nov 25 (Reuters) - The Securities and Exchange Commission has ruled Bank of America Corp can continue, for a short-term, selling shares in hedge funds and other private offerings, according to a...

  3. UPDATE 2-HSBC admits fault, is fined by U.S. SEC over Swiss bank

    Headlines

    Tue, 25 Nov 2014

    WASHINGTON, Nov 25 (Reuters) - HSBC Holdings Plc will pay $12.5 million to resolve charges that its Swiss private banking unit illegally offered services to U.S. clients without being properly registered, the U.S. Securities and Exchange Commission said on Tuesday.

  4. The Right Way to Show Fund Expenses

    Headlines

    Tue, 25 Nov 2014

    stand some improving. In fairness, the current format for displaying expense data isn't bad. Over the past two decades, the SEC has improved fund disclosure by requiring that expense ratios be translated into dollar amounts, for hypothetical accounts

  5. The ABCs of Company Financial Documents

    Headlines

    Tue, 25 Nov 2014

    shareholders must be filed with the Securities and Exchange Commission , or SEC. You can find them by using the SEC 's EDGAR database , by checking ..... go public must file this form with the SEC to register a security prior to an

  6. UPDATE 2-Brazil's Petrobras says received U.S. SEC subpoena for documents

    Headlines

    Mon, 24 Nov 2014

    RIO DE JANEIRO, Nov 24 (Reuters) - Brazil's state-run oil firm Petroleo Brasileiro SA said on Monday it had received a subpoena from the U.S. Securities and Exchange Commission asking for documents relating to an investigation it is pursuing.

  7. SEC director with big stock holdings stirs debate

    Headlines

    Fri, 21 Nov 2014

    Reuters) - Keith Higgins, who runs the office that reviews public companies' books at the U.S. Securities and Exchange Commission , reported stock holdings worth between about $2 million and $6 million last year and the sale

  8. INSIGHT-SEC director with big stock holdings stirs debate

    Headlines

    Fri, 21 Nov 2014

    WASHINGTON, Nov 21 (Reuters) - Keith Higgins, who runs the office that reviews public companies' books at the U.S. Securities and Exchange Commission , reported stock holdings worth between about $2...

  9. INSIGHT-SEC director with big stock holdings stirs debate

    Headlines

    Fri, 21 Nov 2014

    WASHINGTON, Nov 21 (Reuters) - Keith Higgins, who runs the office that reviews public companies' books at the U.S. Securities and Exchange Commission , reported stock holdings worth between about $2...

  10. Tuttle Tactical Management Weekly Market Notes

    Headlines

    Wed, 19 Nov 2014

    Tuttle Tactical Management, LLC is an investment adviser registered with the U.S. Securities and Exchange Commission . You should not assume that any discussion or information contained in this letter serves as the receipt of, or as a substitute for, personalized investment advice from Tuttle ...

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