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Avon Enters Agreements with DOJ and SEC
2014-12-23 14:52:00| Happi Breaking News
Includes payments in connection with Foreign Corrupt Practices Act investigations.
Tags: sec
agreements
enters
avon
SEC Charges Company Executives With Issuing False Press Releases to Inflate Stock Price
2014-12-11 20:26:35| Electronics - Topix.net
The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases while secretly selling thousands of their own stock shares into the market. The executives agreed to pay nearly $325,000 and accept officer-and-director bars to settle the SEC charges.
Tags: price
company
press
stock
SEC Charges Company Executives With Issuing False Press Releases to Inflate Stock Price
2014-12-11 20:15:57| IT Services - Topix.net
The Securities and Exchange Commission recently charged two executives at a penny stock company with issuing false and misleading press releases while secretly selling thousands of their own stock shares into the market. The executives agreed to pay nearly $325,000 and accept officer-and-director bars to settle the SEC charges.
Tags: price
company
press
stock
SEC Grants No-Action Relief to Whole Foods to Exclude Proxy Access Shareholder Proposal
2014-12-11 19:01:25| Grocery - Topix.net
On December 1, 2014, the staff of the Securities and Exchange Commission granted no-action relief to Whole Foods Market regarding its request to omit a shareholder proposal from its proxy materials pursuant to Rule 14a-8 under the Securities Exchange Act of 1934. Rule 14a-8 states that a company may exclude a shareholder proposal if such proposal directly conflicts with one of the company's own proposals to be submitted to shareholders at the same meeting.
Tags: access
sec
relief
proposal
SEC Settles Insider Trading Case With COO
2014-12-02 18:31:30| Chemicals - Topix.net
The SEC and the DOJ have waged an aggressive battle against insider trading for years, resulting in a string of courtroom victories, guilty pleas and settlements as well as significant sanctions which are supposed to deter future wrongful conduct. Nevertheless, corporate executives keep trading on inside information as evidenced by the SEC's most recent insider trading action, SEC v.
Tags: case
sec
trading
insider
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