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  1. UPDATE 1-U.S. judge dismisses Republican challenge to SEC pay-to-play rule

    Headlines

    Tue, 30 Sep 2014

    Sept 30 (Reuters) - A federal judge in Washington late on Tuesday dismissed a challenge by two state Republican parties of a U.S. Securities and Exchange Commission rule that imposes restrictions on...

  2. U.S. judge dismisses Republican challenge to SEC pay-to-play rule

    Headlines

    Tue, 30 Sep 2014

    Sept 30 (Reuters) - A federal judge in Washington, D.C., on Tuesday dismissed a challenge by two state Republican parties to a U.S. Securities and Exchange Commission rule that imposes some...

  3. Two charged with insider trading on Herbalife

    Headlines

    Tue, 30 Sep 2014

    According to the SEC , Filip Szymik learned in advance from his roommate - then a Pershing Square analyst - about Bill ..... Dec. 20, 2012 presentation. Peixoto reaped $47.1K in illicit profits from the deal, says the SEC . 4 comments!

  4. ARK Investment Management launched its first 2 ETFs today

    Headlines

    Tue, 30 Sep 2014

    and the ARK Web x.0 ETF (NYSEARCA: ARKW ) are the first launches in line of actively managed thematic ETFs filed with the SEC by ARK. ARKQ seeks to invest in companies that are revolutionizing the industrial world and how people travel, while ARKW

  5. Bank of America to pay $7.65M fine for overstating capital

    Headlines

    Mon, 29 Sep 2014

    Hopefully bringing the affair to a close, the SEC fines Bank of America ( BAC -0.4% ) $7.65M for violating internal controls and federal laws on record-keeping related

  6. Caution Warranted on PIMCO Stewardship

    Headlines

    Mon, 29 Sep 2014

    million invested (the highest ownership range reported to the SEC ). PIMCO’s Manager Incentives score has been carried ..... Neutral. PIMCO confirmed in September 2014 that the Securities and Exchange Commission is investigating securities pricing within the exchange

  7. Overview Of Restatements Made During The Registration Period

    Headlines

    Mon, 29 Sep 2014

    used to a high level of scrutiny. Their financial reporting is subject to rigorous rules and regulations that are enforced by the SEC . Private companies, on the other hand, while often subject to similar rules, may enjoy a certain amount of leeway thanks

  8. Update: Crossroads Insider Buys 30,000 More Shares Of Stock; Shares Soar

    Headlines

    Fri, 26 Sep 2014

    per share, with a total value of nearly $70,000, according to a Form 4 filed with the U.S. Securities and Exchange Commission . As a result of the transaction, Eberwein now owns 2.32 million shares of Crossroads through Lone

  9. Gross' sudden Pimco exit may quicken outflows to rivals

    Headlines

    Fri, 26 Sep 2014

    bond investors, quit the firm he co-founded on Friday after his flagship fund suffered its 16th straight month of outflows and amid a Securities and Exchange Commission probe into whether one of his funds artificially inflated returns.

  10. Doral Financial: Upside From Potential Lawsuit Win May Be Fleeting

    Headlines

    Fri, 26 Sep 2014

    probably best analyzed in the context of a liquidation as opposed to a going concern. The most current Doral financials filed with the SEC are for the period ending 12/31/13, so we use those as a starting point and roll forward from there based upon what we

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