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Entries tagged "SEC"

You have executed a tag search on The Deal Pipeline. Below, you will find a comprehensive list of stories tagged "SEC."

12 result(s) displayed (25 - 36 of 249)

Allied Nevada Gold gets phantom buyout offer

The mining company questions whether its bidder, China Gold Stone, really exists. Continue reading

Posted on January 16, 2014 3:05 PM

Regulators might exempt TruPS from Volcker rule

Banking regulators and the Securities and Exchange Commission said Friday they are reviewing whether to exempt collateralized debt obligations backed by trust preferred securities from the Volcker Rule's prohibition on proprietary trading by banks. Some community banks have complained that... Continue reading

Posted on December 30, 2013 11:00 AM

Tougher Volcker Rule set to be issued Tuesday

Big banks may need to cash out their hedge fund and buyout shop investments by July 2014. Continue reading

Posted on December 9, 2013 1:07 PM

House sets vote to eliminate PE firm registration

Financial services panel approved the bill on bipartisan basis in June. Continue reading

Posted on December 3, 2013 9:59 AM

U.S. urged to exempt pitch meetings from ad rule

SEC's Higgins: Agency doesn't want to shut down demo days. Continue reading

Posted on November 27, 2013 3:14 PM

With law enforcement, regulators in pursuit, Awesome Penny Stocks calls it quits

Awesome Penny Stocks, a stock promotion firm that has been implicated in suspected pump-and-dump schemes that have cost investors tens of millions of dollars, appears to be quitting the business. Continue reading

Posted on November 13, 2013 1:38 PM

Enforcer in chief: A conversation with Robert Khuzami

The former SEC official rebuts critics of agency's crisis response, questions the wisdom of bringing criminal charges against entire companies and describes the difficulties in proving insider trading cases. Continue reading

Posted on November 9, 2013 1:33 PM

SEC 'open for now,' despite government shutdown

If the SEC shuts down it is expected that public offerings that still require agency officials to approve will come to a halt. Continue reading

Posted on October 10, 2013 8:52 AM

Garrett outlines JOBS Act 2.0 measures

Proposals expected to soon become bills, aim to improve 'crowdfunding' and analyst research of small public companies. Continue reading

Posted on October 4, 2013 8:52 AM

Mexico oils the dealmaking machinery

Under President Enrique Peña Nieto, the country is expected to reform its energy industry. The move could present lucrative M&A opportunities for companies around the world. Continue reading

Posted on September 30, 2013 9:38 AM

Finra warns investors on pot stocks

The market watchdog adopts a 'just say no' policy toward schemes involving companies connected to the burgeoning medical marijuana industry. Continue reading

Posted on August 23, 2013 2:39 PM

Saks languishes on sale rack

Southeastern Asset Management's move to pare its stake in the retailer does not bode well for a deal at a premium price. Continue reading

Posted on July 25, 2013 8:44 AM

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Launch Movers and shakers slideshow

Silicon Valley Bank appointed Wibke Pendse as managing director of private equity finance and banking for the U.K. For other updates launch today's Movers & shakers slideshow.


Wet Seal, dELiA*s, Cache and Body Central: Zombies of retail

These struggling apparel banners are hoping for a surge in consumer spending during the holidays to give them some life. More video