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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 85-96
  • Chicago, south suburban Harvey battle over water bills

      Chicago, south suburban Harvey battle over water bills
    A legal battle between Chicago and one of its suburbs is turning increasingly heated, with the city accusing Harvey of "stealing" tens of millions of dollars worth of water while the suburb's spokesman implied that it's been gouged for years by its bigger...
  • Man who ate napkins to conceal insider trading pleads guilty

    Man who ate napkins to conceal insider trading pleads guilty
    A Brooklyn, New York mortgage broker, who would scribble secret stock tips on napkins and pass them to an accomplice in Grand Central station before eating them, pleaded guilty to insider trading on Friday, federal prosecutors said. Frank Tamayo, 41, was...
  • U.S. options clearinghouse CEO to retire after year in top spot

    The chief executive of the clearinghouse for all U.S. stock options will retire from the company at the end of the year after one year in the role, the company said on Friday. Chicago-based OCC, formerly known as the Options Clearing Corp., did not...
  • U.S. SEC imposes $9 million in sanctions for short-sale violations

    WASHINGTON (Reuters) - Nineteen trading firms and one trader will pay $9 million to collectively settle civil charges alleging they participated in a stock offering after shorting the stock during a restricted period, U.S. regulators said Tuesday. The...
  • Freshpet announces IPO

    Freshpet announces IPO
    Freshpet wants to move up the foodchain — all the way to Wall Street. The Secaucus, N.J.-based company, which recently spent $25 million to relocate its production and distribution facility from the Quakertown area into the Lehigh Valley,...
  • Ahead of blockbuster IPO, Alibaba raises price range to $66-$68 a share

    Ahead of blockbuster IPO, Alibaba raises price range to $66-$68 a share
    Alibaba is seeing huge demand for its initial public offering and has raised the price range of its shares to $66 to $68. The Chinese Internet behemoth is expected to go public on Friday on the New York Stock Exchange.  The company disclosed the...
  • BlackRock calls for U.S. stock market reforms

    NEW YORK (Reuters) - BlackRock Inc, the world's largest asset manager, has asked regulators to force exchanges to lower their access fees and require greater transparency of broker dealer-run trading venues known as "dark pools." The New York-based...
  • Two charged in $25M Clermont Ponzi scheme

    Two charged in $25M Clermont Ponzi scheme
    Central Florida residents Jennifer E. Hoffman, Clermont, and John C. Boschert, Apopka, have been charged with fraud in a $25 million investment scheme. The charges allege that Hoffman and Boschert, along with Michigan resident Bryan Zuzga, fleeced 100...
  • Olive Garden breadsticks targeted by activist investor

    Olive Garden breadsticks targeted by activist investor
    Unlimited garlic breadsticks have been a staple at Olive Garden, but an activist investor is calling on the Italian food chain to give one or maybe two servings of the carbs to patrons. Doing so would reduce "massive unnecessary waste" and save more...
  • 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...
  • Tennessee company to acquire Lehigh Valley's 3rd-biggest corp.

    Tennessee company to acquire Lehigh Valley's 3rd-biggest corp.
    Easy come, easy go. Fogelsville-based chemical company Taminco Corp. announced Thursday it has agreed to be acquired. Taminco's ticker symbol, TAM, made its debut on the New York Stock Exchange only last year, instantly making it the third largest...
  • Zulily's Bethlehem warehouse is Lehigh Valley's 'biggest economic' coup of 2014

    Zulily's Bethlehem warehouse is Lehigh Valley's 'biggest economic' coup of 2014
    Kaitie Burger's love affair with the online retailer Zulily began a little more than a year ago on a tip from a friend. The young company started out as a discount site with mainly children's clothing and gear marketed to moms. But Burger, who has no...