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U.S. Securities and Exchange Commission

A collection of news and information related to U.S. Securities and Exchange Commission published by this site and its partners.

Top U.S. Securities and Exchange Commission Articles

Displaying items 45-55
  • Taking aim at short-sellers, but misfiring

    Northwest Biotherapeutics, a Bethesda, Md., firm with a purported cancer vaccine in development, has been in a long, bitter battle with short-sellers of its shares. It also has implied that Adam Feuerstein, a reporter for TheStreet.com, may be in...
  • Morningstar cuts Pimco fund rating from gold to bronze after Gross exit

    Morningstar cuts Pimco fund rating from gold to bronze after Gross exit
    Saying the Pimco Total Return Fund has lost luster now that bond king Bill Gross is gone,  Morningstar Inc. downgraded its rating of the flagship offering from Pacific Investment Management Co. Morningstar, a giant Chicago investment researcher, had...
  • Viagra ads become more explicit

    More cringing and possibly more explanation is in store for parents watching TV with children when the latest Viagra commercials appear on screens. Euphemistic and delicate phrasing about erectile dysfunction by an unseen narrator? Done and gone. "So...
  • U.S. judge questions Republican challenge to pay-to-play rule

    WASHINGTON (Reuters) - A U.S. district judge questioned on Friday whether two state Republican parties have legal standing to challenge a U.S. Securities and Exchange Commission rule that puts some restrictions on asset managers when they make campaign...
  • U.S. companies offer more political spending detail: study

    BOSTON (Reuters) - Top U.S. companies are reporting more detail about their political contributions, according to a survey by the Center for Political Accountability, a trend that won praise from the group, which pushes for greater transparency. In a...
  • Grupo Aval de Colombia culmina oferta de ADRs en bolsa de Nueva York por 1.265 mln dlr

    BOGOTÁ (Reuters) - El mayor conglomerado financiero de Colombia, Grupo Aval, informó que culminó la oferta de acciones preferenciales, o ADRs en la Bolsa de Nueva York, por 1.265 millones de dólares, un monto superior al inicialmente previsto. Grupo...
  • Barclays to pay $15 million over compliance failures tied to Lehman deal

    WASHINGTON (Reuters) - A unit of Barclays will pay $15 million to settle charges alleging it failed to maintain an adequate internal compliance system after its acquisition of part of Lehman Brothers during the 2008 financial crisis, U.S. regulators...
  • Nasdaq to administer data system behind three-hour trading halt

    NEW YORK (Reuters) - Nasdaq OMX Group Inc won a contract to administer billing and other chores for the data feed system that sparked a three-hour trading halt in Nasdaq-listed stocks last year, but a contract to build and manage the system is still...
  • U.S. judge dismisses Republican challenge to SEC pay-to-play rule

    (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 asset managers who donate to political campaigns, handing the...
  • Family Dollar tells employees work on Dollar Tree deal is proceeding

    Family Dollar said in an email to its employees Tuesday that it's proceeding with its plan to be acquired by Dollar Tree, even while rival Dollar General seeks to break up the deal and acquire Family Dollar itself. For now, Matthews, N.C.-based Family...
  • SEC accuses two men of insider trading on Herbalife

    The Securities and Exchange Commission accused two men of insider trading for acting on advance word that hedge fund manager Bill Ackman planned to bet against nutritional products company Herbalife Ltd. It's the latest dramatic turn for the Los Angeles...