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SEC

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SEC Obtains Asset Freeze Against Company in Turks and Caicos Islands

17/09/2014(0)
The U.S. Securities and Exchange Commission (SEC) announced an emergency asset freeze against a company located in Turks and Caicos Islands in connection with its operation of a South ... Read More
law1

U.S. SEC sets out settlement with AgFeed over accounting fraud

16/09/2014(0)
AgFeed, a Tennessee animal feed company, will pay back $18 million in alleged illicit profits to settle civil accounting fraud charges, U.S. regulators said Monday. AgFeed Industries, which is ... Read More
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SEC Announces Charges Against Corporate Insiders for Violating Laws

11/09/2014(0)
The Securities and Exchange Commission today announced charges against 28 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings ... Read More
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U.S. SEC charges Houston adviser with not disclosing fund payments

03/09/2014(0)
A Houston-based investment advisory firm steered clients to certain mutual funds without disclosing that it was receiving payments from the broker who offered those funds, the U.S. Securities and ... Read More
accountants-small-business

FASB’s proposed 2015 GAAP taxonomy available for comment

02/09/2014(0)
FASB released its proposed 2015 GAAP Financial Reporting Taxonomy on Friday and asked for public review and comment. The taxonomy is a list of financial reporting labels that are ... Read More
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SEC gives $300,000 Whistleblower Award to Internal Auditor

01/09/2014(0)
For the first time, the Securities and Exchange Commission is rewarding a corporate whistleblower whose actual job it is to blow the whistle on a company’s internal missteps. The ... Read More
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SEC Shelves Plan for Private Asset-Backed Bond Disclosure

28/08/2014(0)
The U.S. Securities and Exchange Commission, while expanding disclosure requirements for one set of asset-backed securities, has stepped back from a plan to shed more light on a major ... Read More
onestopbrokers-Regulators

SEC Charges Investor Relations Firm Executive

27/08/2014(0)
The Securities and Exchange Commission (SEC) has charged a director of market intelligence at a Manhattan-based investor relations firm with insider trading ahead of impending news announcements by more ... Read More
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SEC Announces Pilot Plan to Assess Stock Market Tick Size Impact for Smaller Companies

27/08/2014(0)
The Securities and Exchange Commission (SEC) today announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) filed a proposal to establish a national market system ... Read More
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BofA Tax Set-Aside and Wylys Penalty

25/08/2014(0)
Bank of America Corp. must set aside $490 million of its Aug. 21 $16.7 billion settlement to cover taxes that borrowers face on forgiven mortgage debt — a step ... Read More
Broker Cyprus TopFX