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Ex-SEC chief Schapiro to join a private consultancy firm: WSJ

Former Securities and Exchange Commission (SEC) chairman Mary Schapiro will join a private consulting firm as a managing director, the Wall Street Journal said, following a tumultuous four years rehabilitating the agency's battered reputation.

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Found 1 month ago on channel Reuters
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UBS in settlement talks with SEC over mortgage bond deal: WSJ

UBS AG is in talks with the Securities and Exchange Commission to settle allegations the bank defrauded investors in a mortgage bond deal that soured during the financial crisis, the Wall Street Journal reported, citing people familiar with the matter.

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Found 1 month ago on channel Reuters
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Brookfield's Brazilian unit on SEC radar: WSJ

The securities regulator is looking into a bribery charge leveled against the Brazilian unit of Canada's Brookfield Asset Management , the Wall Street Journal reported, citing people familiar with the plans.

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Found more than 1 month ago on channel Reuters
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Nasdaq in settlement talks with SEC over Facebook IPO: WSJ

Nasdaq OMX Group Inc is in preliminary talks with U.S. securities regulators over a possible settlement for the glitch-ridden stock market debut of social networking site Facebook Inc, the Wall Street Journal reported on Tuesday, citing people with knowledge of the discussions.

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Found more than 1 month ago on channel Reuters
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United States: SEC Staff Issues Wells Notice To Netflix And Its CEO - Duane Morris LLP

The Wall Street Journal and other news outlets reported late yesterday that Netflix, Inc. filed a Form 8-K disclosing that each of Netflix and its CEO, Reed Hastings, had received a Wells notice from the staff of the Securities and Exchange Commission relating to an alleged violation of Regulation Fair Disclosure (FD) in connection with a Facebook post by Hastings on July 3, 2012.

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Found more than 1 month ago on channel Mondaq
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