Topic: SEC Activities
American Equity execs to pay $1M in SEC probe deal
AP News
American Equity executives to pay over $1 million to settle SEC probe into 2006 disclosuresAmerican Equity Investment Life Holding Co. on Wednesday said two top executives will pay more than $1 million in penalties as part of a settlement of a Securities and Exchange Commission inquiry into disclosures on a ...
SEC charges Miami couple in Ponzi scheme
Reuters US Online Report Domestic News
WASHINGTON (Reuters) - U.S. securities regulators charged a prominent Miami couple on Wednesday with running a $135 million Ponzi scheme that victimized elderly Cuban-Americans living in South Florida. In a complaint filed in Miami federal court, the Securities and Exchange Commission alleged that Gaston and Teresita Cantens, founders and co-owners ...
SEC puts new curbs on short-selling
AP News
SEC adopts new 'circuit breaker' curbs on short-selling in bid to buttress market stabilityFederal regulators on Wednesday imposed new curbs on the practice of short-selling, hoping to prevent spiraling sales sprees in a stock that can stoke market turmoil. The Securities and Exchange Commission, divided along party lines, voted 3-2 ...
SEC short-sale curb may apply to market makers: sources
Reuters US Online Report Business News
WASHINGTON (Reuters) - Securities regulators are considering new short-sale restrictions with no exemptions for market makers, people familiar with the regulators' plans said on Tuesday. The Securities and Exchange Commission is due to meet on Wednesday to vote on rules that would restrict short-selling in a company's stock if that ...
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