Securities Law 
Republican chides crowdfunding restrictions – Marketwatch
The law seeks to make it easier for small companies to raise money, including through initial public offerings, and the Securities and Exchange Commission is charged with writing rules based on the provisions. “As the SEC considers comments on …
Harbinger’s Falcone could face SEC lawsuit: report – msnbc.com
Regulators are looking into the trading by the hedge fund in bonds of MAXX Holdings Inc. Earlier this year, Falcone told investors in his $4 billion fund that U.S. regulators had informed him he may have violated securities laws by … Continue reading
Harbinger’s Falcone could face SEC lawsuit: report – YAHOO!
Regulators are looking into the trading by the hedge fund in bonds of MAXX Holdings Inc. Earlier this year, Falcone told investors in his $4 billion fund that U.S. regulators had informed him he may have violated securities laws by … Continue reading
SM Energy Prices $400 Million Private Offering of Senior Notes Due 2023 – MSN Money
The notes have not been registered under the Securities Act of 1933 or applicable state securities laws and may not be offered or sold in the United States absent registration or an applicable exemption from the registration requirements of the … Continue reading
Harbinger’s Falcone could face SEC lawsuit -report – Reuters
Regulators are looking into the trading by the hedge fund in bonds of MAXX Holdings Inc. Earlier this year, Falcone told investors in his $4 billion fund that U.S. regulators had informed him he may have violated securities laws by … Continue reading
United States: Pay-To-Play: SEC Extends Compliance Deadline For Provisions Of Advisers Act Rule 206(4)-5 Limiting Payments To Third-Parties – Mondaq
The U.S. Securities and Exchange Commission (SEC) on June 8, 2012 extended for an undefined period the compliance deadline for portions of rule 206(4)-5 (Rule) under the Investment Advisers Act of 1940 (Advisers Act) that would limit an adviser’s ability … Continue reading
White Mountains Solutions to Acquire Two Subsidiaries of American General – Marketwatch
Safe Harbor Statement under the Private Securities Litigation Reform Act of 1995This press release may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities …
TEXT-Fitch places Pacific Securities on rating watch positive – Reuters
June 26 – Fitch Ratings has placed Pacific Securities Corporation’s (PSC … Under the Financial Holding Company Act, SPH is obliged to assist its subsidiary if it falls into financial difficulties. Given the small size of PSC relative to …
TEXT-Fitch places Pacific Securities on rating watch positive – Reuters UK
June 26 – Fitch Ratings has placed Pacific Securities Corporation’s (PSC … Under the Financial Holding Company Act, SPH is obliged to assist its subsidiary if it falls into financial difficulties. Given the small size of PSC relative to …
Unregistered Sale of Equity Securities, Financial Statements and Exhibits – Yahoo! Finance
The Contributed Shares were issued to The Northern Trust Company, as trustee of the Trust, in reliance upon the exemption from registration provided by Section 4(2) of the Securities Act of 1933, as amended (the “Act”), and in furtherance of … Continue reading
