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Tag: sec
SEC investigating Goldman, Citi on bonds: WSJ
2014-03-01 05:37:17| IT Services - Topix.net
The Securities and Exchange Commission has launched a probe into how Wall Street banks, including Goldman Sachs Group Inc and Citigroup Inc , allocate and trade corporate bonds, the Wall Street Journal reported on Friday.
Tags: sec
bonds
investigating
goldman
Two Thoughts about the Jury Verdict in SEC v. Steffes
2014-02-20 02:45:43| Railroads - Topix.net
As you may have heard by now, on January 27th a jury in the Northern District of Illinois sided with the defendants and against the SEC in an aggressive insider trading case.
2 Hong Kong firms paying $10.9M in SEC settlement
2014-02-12 03:42:50| Energy - Topix.net
Two Hong Kong investment firms have agreed to pay a total of $10.9 million to settle U.S. regulators' allegations of insider trading prior to the takeover of a Canadian oil and gas producer by China's state-owned oil company CNOOC.
2 Hong Kong firms paying $10.9M in SEC settlement
2014-02-12 00:46:46| Oil & Gas - Topix.net
Two Hong Kong investment firms have agreed to pay a total of $10.9 million to settle U.S. regulators' allegations of insider trading prior to the takeover of a Canadian oil and gas producer by China's state-owned oil company CNOOC.
U.S. judge takes on SEC again, questions Heinz insider trading pact
2014-01-31 19:39:50| Food - Topix.net
A federal judge who has questioned the U.S. Securities and Exchange Commission's practice of settling cases without admissions of wrongdoing is raising concerns about a proposed agreement over insider trading in H.J. Heinz Co.
Tags: questions
takes
sec
trading
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