December 10, 2013
Five federal agencies on Tuesday issued final rules developed jointly to implement section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Volcker Rule”).
The final rules prohibit insured depository institutions and...
December 9, 2013
Study says 90 percent of all large employers and more than 66 percent of Fortune 500 companies now offer health insurance and other spousal benefits to same-sex domestic partners of staffers.
December 6, 2013
The Securities and Exchange Commission today announced charges and an emergency asset freeze against the perpetrators of a Texas-based Ponzi scheme involving purported investments in oil and gas projects.
The SEC alleges that Robert A. Helms and ...
December 3, 2013
The newly released guidelines suggest that as many as 50 companies will be ready to go public by the end of next month.
December 3, 2013
In January 2009, in the midst of raging financial crisis and a deep global recession, I hosted an online entrepreneurship forum for laid-off engineers who were considering a switch to entrepreneurship. There were 220 people registered for the event, an...
December 2, 2013
15 percent of companies with 500 to 4,999 employees had workplace clinics last year and 11 percent more planned to add them.
November 26, 2013
The Securities and Exchange Commission today announced charges against two Houston-based investment advisory firms and three executives for engineering thousands of principal transactions through their affiliated brokerage firm without informing thei...
November 25, 2013
The Securities and Exchange Commission today charged a New York-based penny stock financier and his firms with violating the federal securities laws when they purchased billions of shares in a pair of microcap companies and failed to register them be...
November 20, 2013
The Securities and Exchange Commission today announced the appointment of Julie K. Lutz as director of the Denver Regional Office, where she will oversee enforcement and examinations in a seven-state region.
Ms. Lutz has supervised the enforcemen...
November 15, 2013
November's IPOs through Tuesday posted an average opening-day gain of 18 percent -- a smaller pop than the average for any full month since May.
November 13, 2013
The Securities and Exchange Commission today announced the agenda and panelists for next week’s Government-Business Forum on Small Business Capital Formation.
The November 21 event will begin at 9 a.m. and include two morning panel discussions....
November 12, 2013
Gary Gensler plans to step down as CFTC chairman when his successor is confirmed.
November 12, 2013
The Securities and Exchange Commission today announced a deferred prosecution agreement with a former hedge fund administrator who helped the agency take action against a hedge fund manager who stole investor assets.
Deferred prosecution agreemen...
October 30, 2013
The nation's No. 2 shopping-center landlord raised $825 million in its IPO on Tuesday.
October 28, 2013
The Securities and Exchange Commission today sanctioned three SEC-registered investment advisory firms for violating the “custody rule” that requires them to meet certain standards when maintaining custody of their clients’ funds or securities....
October 23, 2013
The Securities and Exchange Commission today voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding.
Crowdfunding describes an evolving method of raising capital that has been u...
October 17, 2013
The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid scheme that falsely promises exponential, risk-free returns to investors in a venture that purportedly sells I...
October 9, 2013
The company has filed a notice with the SEC for a special shareholders meeting on the morning of Oct. 24.
September 30, 2013
The Securities and Exchange Commission today charged a New Jersey-based audit firm and one of its founding partners for their roles in the botched audits of a China-based company that failed to disclose related party transactions by its CEO and other...
September 26, 2013
The Securities and Exchange Commission today charged the operators of a South Florida-based boiler room scheme with defrauding seniors and other investors they pressured into purchasing stock in a company that purportedly developed ground-breaking te...