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...
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...
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!
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
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
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
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
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
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.
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