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Tag Archives: SEC

Under Armour cuts revenue forecast, faces federal investigation (access required)

Following the revelation over the weekend that the federal government is investigating its accounting practices, Under Armour reported Monday that third-quarter revenues dropped 1% and said that it expects revenues for the year to fall short of expectations. The Baltimore-based ...

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OSHA whistleblower policy a ‘game changer’ for corporate America (access required)

New guidelines released by the Occupational Safety and Health Administration are a “game changer” for how corporate America will handle whistleblowers in the workplace, a national employment law firm says. Under the new rules, the federal agency responsible for enforcing ...

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SEC proposes making brokers reveal where client orders go (access required)

Brokers may have to dish up more information on where they’re sending their client orders. The U.S. Securities and Exchange Commission is proposing rules that for the first time would force brokers to provide standard data on where they send ...

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SEC considers SAC victims’ fund

The U.S. Securities and Exchange Commission is considering establishing a victims’ fund with the $602 million that SAC Capital Advisors LP paid to settle an insider-trading case brought by regulators.

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TD Bank, accused of failing to report Ponzi scheme, pays $52.5M to settle

WASHINGTON — TD Bank is paying $52.5 million to settle U.S. civil charges after regulators accused the bank of failing to report suspicious activity in accounts linked to a $1.2 billion Ponzi scheme. The Securities and Exchange Commission and the ...

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