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Posts tagged "SEC"

Groupon and SEC already have long, contentious history

Late Monday, the Wall Street Journal reported that Groupon was under scrutiny by the U.S. Securities and Exchange Commission regarding its plans to restate its earnings. No surprise, because it seems that Groupon has been under the SEC's Read More →

Quoted: on Groupon, the JOBS Act and regulations

"I find it amazing that Congress would allow any firm to work behind closed doors on any accounting or auditing issue. We learned a long time ago that sunshine is the best antiseptic." — J. Edward Ketz, associate professor Read More →

West Marine agrees never again to do the things it doesn’t admit ever doing

westmarinelogoWest Marine, the Watsonville-based boating supply retailer, reported today that the Securities and Exchange Commission approved a final settlement of the federal agency's investigation into certain of the company's accounting practices. The Read More →

SEC proposes changes to some proxy disclosure rules

sec-logoThe Securities and Exchange Commission said today it has proposed revisions to some of its rules related to proxy disclosures that the Commission says would include information about:

Wife must testify in investigation into possible insider trading involving her husband

sec-logo1An employee of Restoration Hardware must appear before the SEC to give sworn testimony in its investigation into possible insider trading involving her husband, a federal judge in San Francisco ruled Read More →

SEC says financial analyst improperly claims marital privilege to avoid testimony in insider trading case

sec-logoThe Securities and Exchange Commission said today it has filed an action to force Oakland resident Lena Yan, an analyst in the finance department at Restoration Hardware, to provide Read More →
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