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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 247)


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




SEC charges China Intelligent Lighting, NIVS, CEOs

A sister and brother who ran two Chinese electronics companies were charged with diverting cash from offerings to U.S. investors. Continue reading

Posted on July 23, 2013 1:54 PM




SEC to consider 'bad actor' rule

A prohibition against certain participants in private placements is part of a proposed elimination of advertising for those offerings. Continue reading

Posted on July 9, 2013 9:13 AM




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Jones Day said former AUSA Jack M. Williams joined its Atlanta office as a partner in the business and tort litigation practice. For other updates launch today's Movers & shakers slideshow.

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ArcLight agrees to acquire Pennsylvania plants from Exelon

The Chicago-based electric utility is progressing smoothly with its noncore divestitures. The final asset on the block is its Hillabee plant, a 774 megawatt gas-fired facility in Alabama. More video

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