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United settles with SEC over a money-losing route that connected an official with his vacation home

United Airlines’ parent company has agreed to pay a $2.4-million penalty over how it reinstated a money-losing route that gave a public official easier access to his vacation home.  The U.S. Securities and Exchange Commission and United Continental Holdings Inc. said Friday that they've settled...

CFTC Warns of Oil & Gas Investment Fraud Risk

19 hours agoIndustries / Law : Zamansky

In October, we reported that the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) had issued warnings to investors regarding investment programs and other fraud schemes in the oil and gas sector. Show More Summary

Pimco to pay nearly $20 million to settle SEC charges that it misled investors

Investment giant Pimco has agreed to pay a nearly $20-million penalty to the U.S. Securities and Exchange Commission to settle charges that it misled investors about the performance of one of its earliest actively managed exchange-traded funds. The charges stem from the firm’s Total Return ETF,...

SEC files fraud charges against Miami tech ‘investor’ and fund company

The U.S. Securities and Exchange Commission announced fraud charges and an asset freeze against a once high-profile figure on the Miami tech scene and his company. The SEC alleges that … Click to Continue »

Sheryl Sandberg Sets Aside $100 Million In Facebook Stock To Give To Charity

4 days agoNews : Huffington Post

Facebook Chief Operating Officer Sheryl Sandberg has set aside about $100 million worth of Facebook stock to contribute to charitable organizations, according to a Securities and Exchange Commission document filed Wednesday. Sandberg’s...Show More Summary

An Illegal Investment With A Huge Potential Pay-Off

JPMorgan Chase & Co has agreed to pay a total of $264 million to settle charges that it violated the Foreign Corrupt Practices Act. Payments will be made to the U.S. Securities and Exchange Commission, the Justice Department and theShow More Summary

Indiegogo Now Offers Equity Crowdfunding

The U.S. Securities and Exchange Commission has changed the rules about how small investors can participate in crowdfunding. Indiegogo offers a chance to support good causes and to (hopefully) generate a profit Indiegogo Now Offers Equity...Show More Summary

Apple mysteriously stopped disclosing how much it spends on ads (AAPL)

Apple has stopped disclosing how much it spends on advertising, and it's not entirely clear why. The company's latest annual report (10-K), filed with the Securities and Exchange commission in October, made no mention of its advertising...Show More Summary

Apollo Global’s Cloud Services Firm Presidio Files for IPO

Today IT services firm Presidio filed a prospectus with the Securities & Exchange Commission for an initial public offering, the vast majority of its stock at the moment being owned by the giant alternative investments fund firm Apollo Global Management (APO). J.P. Show More Summary

With Mary Jo White Out of the SEC, Is Dodd-Frank Done?

Mary Jo White announced last week that she would resign her post as chair of the Securities and Exchange Commission when President Barack Obama leaves the White House in January, despite having three years left on her term. White has been one of the longest serving SEC chairs, overseeing......

Facebook Sets $6B Buyback Plan; Chief Accounting Officer Resigns

Late on a Friday afternoon is the perfect time to announce a $6 billion buyback plan, and that’s just what Facebook (FB) did 15 minutes after market close, via an 8-K filing with the Securities & Exchange Commission. It’s an open-ended program, with no expiration, the company explains, starting in Q1 of 2017: On November […]

Here's the SEC's plan for the future of US fintech

This story was delivered to BI Intelligence "Fintech Briefing" subscribers. To learn more and subscribe, please click here. The Securities and Exchange Commission (SEC) has become the latest US regulator to publicly address the subject of fintech. It held a fintech forum, attended by regulators, academics, incumbents, and fintechs, on Monday. Show More Summary

Snap Inc. Files for IPO (Report)

Did a Snapbot make a surprise appearance at Securities and Exchange Commission headquarters, or did Snapchat parent Snap Inc. file its initial public offering documents via a more traditional courier?

New President. New SEC. Less Regulation?

The Securities and Exchange Commission (SEC) is poised to have the majority of its seats filled by Trump nominees.  Earlier this week SEC chair Mary Jo White announced she would be stepping down at the end of President Obama’s term.Show More Summary

What you need to know on Wall Street right now

FA Insights is a daily newsletter from Business Insider that delivers the top news and commentary for financial advisors. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration. Show More Summary

With Resignation Trump Can Now Reshape Wall Street

“Mary Jo White, the head of the Securities and Exchange Commission, on Monday announced that she would step down two years before the end of her term, clearing the way for President-elect Donald Trump to reshape the way Wall Street [...]

Expedia’s hotel search engine Trivago kicks off IPO with SEC filing, plans to list on NASDAQ

Accommodation search engine Trivago has kickstarted its plans for a proposed initial public offering (IPO) after filing a Form F-1 with the securities and exchange commission (SEC) in the U.S. Founded out of Germany in 2005, Trivago claims more than 120 million travelers use its service to filter through 1.3 million hotels, which are aggregated […]

Mary Jo White Will Resign From SEC Before Donald Trump Is Inaugurated 

On Monday, Mary Jo White, chair of the Securities and Exchange Commission, announced that she will resign before president-elect Donald Trump is inaugurated. Read more...

SEC Chair leaving before President-elect Trump takes office

3 weeks agoNews : NY Daily News

The head of the Securities and Exchange Commission will leave office at the end of the Obama administration, the agency said Monday.

SEC Chair White leaving at end of Obama administration

The head of the Securities and Exchange Commission, Mary Jo White, will leave office at the end of the Obama administration, the agency said Monday. White, a former federal prosecutor … Click to Continue »

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