Securities Law 
Maple and TMX Group Obtain Clearance from Competition Bureau – Yahoo Finance
… the securities of a Canadian company that does not have securities registered under Section 12 of the U.S. Securities Exchange Act of 1934, as amended (the “U.S. Exchange Act”). Accordingly, the offer is not subject to Section 14(d) of … Continue reading
SEC loses bid to get coverage for Stanford investors – Gulf News
… to show the 7,000 clients who invested in the Ponzi scheme met the definition of “customer” under the Securities Investor Protection Act, which set up the non-profit fund run by the brokerage industry. “The court is truly sympathetic to … Continue reading
Diamond Blames Rival Banks for Misleading Markets – Businessweek
Ordered to testify to British lawmakers after Barclays agreed to pay a record 290-million pound ($455 million) fine for rigging the London interbank offered rate, Diamond said he was “disappointed” regulators failed to act on repeated …
BCSC Panel Finds That OTC Bulletin Board Company and Two Directors Broke Securities Laws – msnbc.com
A British Columbia Securities Commission panel has found that a company quoted on the US OTC Bulletin Board and two of its directors contravened securities laws when it issued false news releases. The panel found that Brookmount Explorations Inc, Peter … Continue reading
Rosen Law Firm Files First Federal Securities Class Action Against Lone Pine Resources, Inc. and Announces Important Deadline — LPR – Yahoo Finance
NEW YORK, July 3, 2012 (GLOBE NEWSWIRE) — The Rosen Law Firm, P.A. announces today that it has filed the first federal class action against Lone Pine Resources, Inc. (LPR) alleging that Lone Pine made false statements of material facts … Continue reading
Living Wills’ for Too-Big-to-Fail Banks Are Released – New York Times
Under the law, more than 100 financial institutions will be required … including quarterly filings with the Securities and Exchange Commission and annual reports. In some cases, banks gave an overview of their efforts to build capital and …
Diamond Says Rivals Lowballed Libor, Blames Regulatory Inaction – Bloomberg
Ordered to testify to British lawmakers after Barclays agreed to pay a record 290-million pound ($455 million) fine for rigging the London interbank offered rate, Diamond said he was “disappointed” regulators failed to act on repeated …
Timbercreek Senior Mortgage Investment Corporation Raises $153.8 Million in Public Offering and Private Placement – Yahoo Finance
The securities described herein have not been, and will not be, registered under the United States Securities Act of 1933, as amended (the “1933 Act”), or any state securities laws and may not be offered or sold in the United … Continue reading
Rosen Law Firm Announces Filing of Securities Class Action Against PolyMedix, Inc. — PYMX – GlobeNewsWire (press release)
NEW YORK, July 2, 2012 (GLOBE NEWSWIRE) — The Rosen Law Firm, P.A. announces a class action has been filed against PolyMedix, Inc. (OTCBB:PYMX) alleging that PolyMedix misrepresented the safety of its two experimental compounds in clinical …
SDRL – Seadrill Partners LLC submits its initial registration statement to the SEC – Seekingalpha.com
This announcement is being made pursuant to, and in accordance with, Rule 135 under the Securities Act of 1933. This press release does not constitute an offer to sell or the solicitation of an offer to buy securities, and shall … Continue reading
