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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 251)

Bid to speed 'proxy plumbing' riles activist investors

A possible change to shareholder record date could speed up M&A, slow down dissidents. Continue reading

Posted on February 7, 2014 3:29 PM

Chinese arms of Big 4 auditors banned for 6 months

The accounting firms had refused to turn over documents to the SEC, citing Chinese law. Continue reading

Posted on January 23, 2014 10:18 AM

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

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Movers & Shakers

Launch Movers and shakers slideshow

RBC Capital Markets recruited Axel Brinkmann as a managing director to head its London-based commercial real estate lending efforts in the U.K. and Europe. For other updates launch today's Movers & shakers slideshow.


Activist Starboard looks to ignite change at Advance Auto Parts

Jeff Smith's activist hedge fund Starboard Value has set out to drive change at the car parts retail chain, reporting a 3.7% stake and announcing plans to make a presentation about the company at an investment conference in Toronto. More video