"McArthur is also personally benefiting from ASEA's control of the 457 plan" in what amounts to a conflict of interest, says the Alabama Securities Commission report.
Veteran software analyst Rick Sherlund of Nomura Securities has a report out this morning with a rather gloomy, cautionary take on the enterprise software sector.
Patrick Walravens of JMP Securities has a report out this morning suggesting that Netsuite, the SaaS providers of enterprise planning and financial tools, is bucking the looming slump in technology spending.
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First, Dodd-Frank offers time-tested financial incentives and protections for knowledgeable insiders who report serious securities law violations.
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The Securities Commission's report describes ASEA as deliberately hiding from its own members a relationship with Nationwide that was highly lucrative for the union.
However, she noted that a U.S. Securities and Exchange Commission report released last month (see " SEC Targets Pensions") indicated widespread conflicts of interest exist among pension consultants and money managers that may cause significant financial damage to pension funds.
But the legal-proceedings section of the company's second-quarter report to the Securities and Exchange Commission makes sobering reading.
There is a report of an Securities and Exchange Commission investigation Goldberg told me, but the status of that investigation is unclear.
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Stocks erased losses after the report and Treasury securities fell, pushing the yield on the benchmark 10-year note up to 3.45% from 3.33% late yesterday.
MacRumors reports on a new report from KGI Securities analyst Ming-Chi Kuo today that details his estimates of the products Apple will launch this fall.
"Mr Takenaka appears to have recovered lost ground, as the schedule sets the stage for stricter self-inspections and loan asset inspections, " a report by Mitsubishi Securities said.
"Elections, weak coalition governments, the health of presidents and the emergence of newly aligned opposition parties could easily undermine stability, " warns a recent report by Peregrine Securities International.
Last weekend, another report from Shanghai Securities News indicated that sales of washing machines, air conditioners and refrigerators increased by 6.5 percent, 0.5 percent and 22 percent, respectively, year on year in September.
Another report from Shanghai Securities News published the weekend before indicated that sales of washing machines, air conditioners and refrigerators increased by 6.5 percent, 0.5 percent and 22 percent, respectively, year on year in September.
The whistleblower program mandates that the SEC must pay individuals bounties if they come forward to report violations of federal securities laws.
Beginning on January 1, 2011, brokerage firms, mutual fund companies, banks and transfer agents will be required to track and report the cost of securities to both the IRS and the investor.
Companies that report to the American Securities and Exchange Commission now have to reveal whether they buy minerals from Congo or from any of its nine neighbours and, if so, from where.
U.S. retail sales data, industrial output in China and the euro area, the ongoing Spanish banking crisis and possible further monetary policy easing in Japan will all be overshadowed by the Greek elections, said Nomura Securities analysts in a 16 page report on Friday.
"One year on from the earthquake, Japan's economy remains deeply affected by the disaster, " Takehide Kiuchi, chief economist of Nomura Securities, wrote in a recent research report.
Beat-up shares in Chinese paper producers may be poised to rise in the second half of 2012, Northeastern Securities of Jilin said in a research report on Saturday.
Thankfully the SEC encourages whistleblowers to first report the alleged violation of securities laws internally before reporting to the SEC, and the SEC may consider whether the whistleblower actually did so in determining the amount of the bounty.
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Even before the current crisis, the number of securities class-action suits filed during the first half of the year rose by more than 100% over the same period for the preceding year, according to a recent report by Stanford Law School Securities Class Action Clearinghouse.
The Securities and Exchange Commission today issued a report that makes clear that companies can use social media outlets like Facebook and Twitter to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information.
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"We have to believe that this remains a company in trouble, " Banc of America Securities analyst David Strasser said in a recent report.
The report named names, and the Securities and Exchange Commission obtained warrants of arrest against 32 people in seven brokerage firms and eight listed companies.
To offset the losses Japanese corporations saw on the back of a rising yen, companies like Olympus began dealing highly speculative securities, such as derivatives trading, the report said.
The International Capital Market Association, a trade group for securities-market participants, estimated in a report last month that the tax would cause the short-term repo market to contract by 66%.
That creates potential problems under the Securities Exchange Act, which requires auditors to report instances of possible illegality to the board and to be satisfied that the corporation is responding appropriately.
The Company's filings with the Securities and Exchange Commission, including its Annual Report on Form 10-K for the year ended Dec. 31, 2012, include more information about factors that could affect the Company's financial results.
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Utah's governor signed into law last month a controversial measure that would force brokerages in the state to pay issuers if they handle trades that fail to deliver and then do not report those failures to the state securities department within 24 hours.
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