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Topix SEC News“None of this takes place in a vacuum” Credit rating agencies have lost the trust of investors following the recent worldwide meltdown in commercial paper marks, leading to a “systemic shock” in capital markets, a former chairman of the U.S. … via The Globe and Mail Read full story

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Topix SEC News“Maybe people are going to be freaked out about Wells Fargo’s losses, but they shouldn’t be” SAN FRANCISCO : Wells Fargo & Co. is absorbing $1.4 billion in losses on home equity loans that borrowers have stopped repaying amid a deepening real estate slump that has turned into a financial sinkhole. via […]

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Topix SEC News“Electing directors is the main means shareholders have to ensure that a company is managed in their interest.” Federal securities regulators appear primed to allow companies to bar shareholders from access to ballots for board elections, a move that major pension funds and governance advocates say could make corporations less responsive to […]

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IRVINE, Calif. A former executive at chip-maker Broadcom Corp. has agreed to plead guilty to obstruction of justice as part of a federal probe of stock option grants, a newspaper reported Tuesday. via WKRN-TV Nashville Read full story

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Topix SEC News The U.S. Securities and Exchange Commission accused two ex-GlobeTel Communications officers of creating sham invoices, producing $119 million in fake revenue. via The Post Chronicle Read full story

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Topix SEC News“Our business remains strong and we are on a path to achieve our full-year guidance” Forrester Research, Inc. today announced its third quarter ended September 30, 2007 financial results and filed its form 10-Qs for the first three quarters of 2007, regaining compliance with SEC and Nasdaq … via Customer Interaction Solutions […]

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The head of Wachovia Corp. is bullish on his company, even though Wall Street is bearish on the big American banks right now. via The Greenville News Read full story

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Topix SEC News“The decision was taken to control reckless market growth, but the method was unwise” Hundreds of investors demonstrated in the Dhaka Stock Exchange on Thursday, against the Securities and Exchange Commission’s decision to stop issuing portfolio loans by the Merchandise Banks and Brokerage … via News from Bangladesh Read full story

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Topix SEC News“The CFTC and the SEC, while both financial regulators, oversee two completely different types of markets and consequently have two completely different sets of statutory and regulatory schema” The comments were filed in response to a larger-scale inquiry the US Treasury Department launched earlier this month on financial regulatory reform. via Platts […]

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Topix SEC News Sears Holdings Corp. has proposed buying furnishings retailer Restoration Hardware Inc. via KCPQ Read full story

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Anurag Gupta, 317-707-2355 Anurag.gupta@brightpoint.com Brightpoint, Inc. today announced it had filed a Schedule 13D with the Securities and Exchange Commission with respect to Brightpoint’s beneficial … via PR-inside.com Read full story

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H&R Block Inc , the largest U.S. tax preparer, on Friday said the subprime lending unit it is trying to sell has obtained $350 million of new funding capacity from a unit of Royal Bank of Scotland Group Plc . via Reuters Read full story

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Topix SEC News The Colorado Public Employees Retirement Association has reached a $15.5 million settlement with Qwest Communications International stemming from the company’s accounting scandal.PERA had opted out of a $400 million class-action settlement reached in 2005. Greg Smith, the retirement fund’s general counsel, said PERA’s share of that settlement would have been about $400,000.In […]

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On this October, the Securities and Exchange Commission published observations from its review of the executive compensation disclosures from 350 public companies that were filed during the latest proxy … via The Journal of the Business Law Society Read full story

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Topix SEC News The Law Firm Newswire - Cohen, Milstein, Hausfeld & Toll is currently investigating Citigroup Inc. via LawFuel.com Read full story

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Topix SEC News Federal regulators are considering suing Sycamore Networks Inc. for improperly accounting for stock options grants, the telecommunications equipment maker said Wednesday. via Forbes Read full story

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The U.S. Securities and Exchange Commission is seeking additional information from MGIC Investment Corp. via The Business Journal of Milwaukee Read full story

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Attorneys have asked a judge to limit the range of questions that a former Qwest accountant named in a civil fraud lawsuit can pose to federal regulators. via KRDO-TV Colorado Springs Read full story

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The Securities and Exchange Commission has launched an investigation into InfoUSA, a Nebraska company that used corporate funds to fly Hillary Rodham Clinton around the country, and one of only two companies to … via Free Republic Read full story

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“I’m assuming that we’d have other major investors that would come in, in one form or another” Twelve big pension funds and a government workers’ union are making last-ditch efforts to persuade securities regulators not to adopt a controversial shareholder rights rule before month’s end. via International Business Times Read full story

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Kiplinger Business Forecasts November 13, 2007 SECTION: Vol. 2007, No. 1116 LENGTH: 395 words HEADLINE: SEC Wants More Information from Firms on Climate Risks BYLINE: Matthew Mogul The Securities and Exchange … via Insurance News Net Read full story

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Topix SEC News“I bought Wachovia shares because I think it’s a fabulous investment.” Wachovia Corp. today said Chief Executive Ken Thompson has acquired an additional 100,000 shares of the fourth-largest U.S. bank. via Boston Herald Read full story

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Topix SEC News Posted Nov 19th 2007 7:44PM by Zac Bissonnette Filed under: Law , Scandals According to the Financial Times , “Companies doing business in “terrorist-sponsoring states” could once again have their names under … via Blogging Stocks Read full story

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Topix SEC News“Our actions today reflect a determination to focus on those activities where H&R Block can generate significant shareholder value” H&R Block Inc., the largest U.S. tax preparer, said on Tuesday that chairman and chief executive Mark Ernst had resigned, following mounting losses tied to subprime mortgages. via National Post Read full story

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Mylan Inc. announced that it completed the sale of 2.14 million shares of 6.50% mandatory convertible preferred stock at $1,000 per share and 53.5 million shares of common stock at $14 per share pursuant to a … via BioSpace Read full story

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Putnam and the Trustees also announced details of the fund’s upcoming annual shareholder meeting. via PR-inside.com Read full story

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Topix SEC News“The division’s focus has expanded in scope as a result of both recent legislation and the dramatic changes in the markets due to technology and innovation, globalization, and other forces” The U.S. Securities and Exchange Commission announced that the Division of Market Regulation is reverting to the name, “Division of Trading and […]

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Topix SEC News“We”, or any variation thereof, is a reference to GoAmerica, Inc. and its subsidiaries. “GoAmerica”, the “GoAmerica” GoAmerica, Inc. , a provider of relay and wireless communications services for deaf, hard-of-hearing, and speech-impaired persons, today announced results for the third quarter ended September 30, 2007. via TMCnet Read full story

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“Investors have told us they want to avoid supporting terrorism directly or indirectly through their investments” Securities regulators Friday asked for public comment on whether to relaunch a Web site detailing companies that disclose interests in five nations on a U.S. terrorism watch list. via BusinessWeek Read full story

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Topix SEC News“Furthermore, Datascope’s senior management team comprises a group of eight corporate officers with an average tenure of 13 years, excluding the CEO and founder….” Dan Gagnier or Renee Soto, 212-687-8080 Starboard Value and Opportunity Master Fund Ltd., an affiliate of RCG Starboard Advisors, LLC and Ramius Capital Group, L.L.C. , today issued […]

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Topix SEC News The U.S. Securities and Exchange Commission today voted unimously to allow foreign companies to use international accounting standards instead of U.S. rules when filing data with the agency. via Reference at Newman Library Read full story

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Topix SEC News NEW YORK : Corporations from outside the United States that use international accounting standards will no longer be required to adjust their financial statements to comply with American accounting rules, the … via International Herald Tribune Read full story

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Topix SEC News“We are now able to see the very significant profitability improvements we have made over the last several quarters” BEA Systems released its first audited quarterly statements in more than a year Thursday, and they show the company doing better than Wall Street expected, with a 59 percent jump in earnings. via […]

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Democratic leaders in the Senate have selected a corporate lawyer and a longtime financial industry regulator to fill their party’s two vacancies at the Securities and Exchange Commission , sources told the … via NYSSCPA.org Read full story

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The executive vice president of global customs at freight forwarder Expeditors International of Washington Inc. via Forbes Read full story

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“These appointments are very important because the two current Republican commissioners have publicly indicated a conservative approach toward regulation” Senate Democrats have asked the White House to nominate Elisse Walter, a brokerage regulator, and Luis Aguilar, a securities lawyer, for the Securities and Exchange Commission, according to two people with … via Chicago Tribune […]

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Topix SEC News“Every CFO of a public company understands that any restatement of financial results is highly likely to draw the scrutiny of the SEC” Frank Dunn believes he “rescued” Nortel Networks Corp. , and says any accounting issues under his watch were merely mistakes, rather than fraud. via The Globe and Mail Read […]

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“This is the commission’s fifth action against a company for participating in the Oil for Food kickback scheme and demonstrates our continuing commitment to combating violations of the Foreign Corrupt Practices Act” Chevron Corp. has agreed to pay $30 million to settle charges that it made illegal kickbacks to Iraq for oil purchased in […]

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Topix SEC News The president and chief executive of natural gas and crude oil producer Forest Oil Corp. via Canadian Business Magazine Read full story

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Topix SEC News Kids’ clothing store chain Children’s Place Retail Stores Inc. said Wednesday the Nasdaq Stock Market has granted the company an extension to file its delinquent financial reports. via Canadian Business Magazine Read full story

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Topix SEC News Former RenaissanceRe Holdings Ltd. executive Michael W. Cash has agreed to settle civil charges filed by the Securities and Exchange Commission that he helped arrange a sham finite reinsurance deal to smooth … via Business Insurance Read full story

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Topix SEC News Brian Moore - President and CEO Fred Hite - SVP and CFO Analysts Michael Matson - Wachovia Securities Ben Andrew - William Blair Mark Mullikin - Piper Jaffray Steve Lichtman - Banc of America Securities Beth … via Seeking Alpha Read full story

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“We expect these significant dislocations in the CDO market to continue, and it is unclear what impacts these dislocations will have on other markets in which we operate or maintain positions” Several of the nation’s leading banks warned Friday the subprime lending crisis will contribute to another round of losses in the fourth quarter, […]

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“There may be layers of protection for customers, but in our view, customers may withdraw assets first, and ask questions later” E*Trade Financial Corp told customers on Monday it can absorb a writedown of as much as $1 billion and it is well capitalized, after a Citigroup analyst said credit woes put the online […]

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Topix SEC News Tim Marquez - Chairman and Chief Executive Officer Analysts Nicholas Pope - JPMorgan Ray Deacon - BMO Gary Stromberg - Lehman Brothers Jeff Robertson - Lehman Brothers Presentation Operator Good day, ladies and … via Seeking Alpha Read full story

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Topix SEC News“We have 21 days to appeal, during which the stock will continue to trade” Grace Leong - DAILY HERALD Provo-based direct seller has 21 days to appeal order An administrative law judge with the U.S. Securities and Exchange Commission has ordered the stock registration of Nature’s … via Daily Herald Read full […]

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The chief operating officer of Anadarko Petroleum Corp., one of the nation’s largest independent energy exploration and production companies, exercised options for and then sold 160,000 shares of common stock, … via MSN Money Read full story

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BFC Financial Corporation , a diversified holding company that invests in and acquires operating businesses in a variety of industries, today announced financial results for the quarter ended September 30, … via Earth Times Read full story

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Topix SEC News“They have moved forward and certainly if they are not finalized are close to finalizing the names.” Senators have narrowed a list of candidates to fill two Democratic commissioner seats at the Securities and Exchange Commission, a source familiar with the matter said on Friday. via Reuters Read full story

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Topix SEC News ABX Air, Inc., today filed a Form 12b-25 notification with the Securities and Exchange Commission indicating that it cannot timely file its financial results for the third quarter and nine months ended … via Business Wire Read full story

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The Securities and Exchange Commission has cleared publisher Electronic Arts regarding its stock options practices. via GameDaily Read full story

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Zoran Corporation announced that the staff of the Securities and Exchange Commission notified Zoran Corporation by letter dated November 2, 2007, that the staff’s investigation of Zoran’s historical stock … via Earth Times Read full story

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“While we consider Wachovia’s valuation attractive, we believe that the company’s mortgage operations will limit the shares’ upside until real estate markets and nonperforming asset levels stabilize” Capital One Financial Corp. said Tuesday it could record several hundred million dollars more in charge-offs in 2008 than previously forecast, due to persistent loan delinquencies and […]

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“After assessing the advantages and disadvantages of remaining a registered company, our board of directors unanimously concluded that it is in the best interests of the company and its stockholders to deregister its shares” National RV Holdings Inc. is taking steps with the Securities and Exchange Commission to deregister its common stock. via RV […]

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Topix SEC News The Indian regulator’s recent move on PNs has helped create a level-playing field for domestic investors on the KYC issue, argue Bijith R & Yagnesh Kansara Finally, the dust over the whole participatory notes … via Express India Read full story

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Topix SEC News Securities and Exchange Commission chairman Christopher Cox has instructed the SEC staff to draft changes to the commission’s Rule 15c2-12 on disclosure to allow for the creation of a free, electronic municipal … via The Bond Buyer Read full story

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Topix SEC News Kansas City-based Bats Trading Inc. has submitted to regulators an application to become a registered stock exchange.The company currently operates a stock trading center and reports all of its price quotes through either the Chicago-based National Stock Exchange or the New York-based ISE Stock Exchange, spokesman Randy Williams said Monday.As an exchange, […]

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Topix SEC News Pioneer will operate the acquired properties with an average 85% working interest. via PR-inside.com Read full story

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The president of software maker Microsoft Corp.’s entertainment division sold 15,000 shares of common stock, according to a Securities and Exchange Commission filing Monday. via Canadian Business Magazine Read full story

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“This exchange offer is another step in our plan to further de-lever and improve our capital structure” Goodyear Announces Exchange Offer for Convertible Notes - Auto News from November 6, 2007 AKRON, Ohio, Nov. via Automotive Read full story

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Topix SEC News“We have located personnel to that branch to handle the needs of his clients, and there is not much more at this point that we can say.” Federal and state authorities are looking into whether two Springfield businessmen made off with more than $1 million from a nursing home resident in her […]

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Topix SEC News“One of the principal mandates of the SEC is to protect investors” Financial advisors like to say that there is no free lunch in investing. If you expect to earn above-average returns, you must be willing to take above-average risk. via KCPQ Read full story

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In the news release issued on November 1, 2007, “Agilysys Reports Unaudited Fiscal 2008 Second-Quarter Results,” the company reported net sales and cost of goods sold for both products and services for three … via Earth Times Read full story

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Topix SEC News“MarkWest”) or via webcast, the link for which is available in the “Investor Relations” You are invited to join a conference call and webcast on Wednesday, November 7, 2007, at 4:00 p.m. Eastern Time with Frank Semple, President and Chief Executive Officer; Nancy Buese, Senior Vice President and … via PR-inside.com Read […]

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Topix SEC News Nano-Proprietary, Inc. today reported third quarter 2007 results that continue to show progress towards achieving financial stability. via Earth Times Read full story

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Topix SEC News Shares of comScore Inc. fell Thursday after the company said it filed a registration statement with the SEC regarding a proposed underwritten public offering of 6.1 million shares of its common stock. via Canadian Business Magazine Read full story

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“InServ allows us to offer new service lines to our existing customers, brings us new customer contacts through existing InServ relationships, and also delivers a new facet, gaining end market exposure to refineries and other downstream facilities.” Willbros Group, Inc. — Net income for continuing operations of $10.3 million, or $0.32 per fully diluted […]

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Topix SEC News NEW YORK : The Securities and Exchange Commission has launched an investigation into deals Merrill Lynch & Co. via International Herald Tribune Read full story

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Terry Heath - Credit Suisse Imran Khan - J.P. Morgan Mark Bacurin - Robert W. Baird Aaron Kessler - Piper Jaffray Brian Pitz - Banc of America Securities Eric Martinuzzi - Craig-Hallum Mark May - Needham & … via The Internet Stock Blog Read full story

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“There are opportunities to significantly improve” Maurice “Hank” Greenberg, the former chief executive of American International Group Inc., on Friday said he is considering “strategic alternatives” to increase the value of his remaining shares in the world’s … via Canadian Business Magazine Read full story

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Topix SEC News“As presented below, we are providing full year 2008 Outlook for operating results that suggests growth in recurring cash flow per share of approximately 25% year-over-year, which is at the high end of our stated goal of 20% to 25% annual growth” Crown Castle International Corp. today reported results for the quarter […]

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Robert A.G. Monks / Social to The National Law Journal October 29, 2007 Illustration: Gayle Hegland Although in absentia, the Securities and Exchange Commission played a prominent role before the U.S. Supreme … via National Law Journal Read full story

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Topix SEC News Ingersoll-Rand Co. on Wednesday said it agreed to pay $6.7 million as part of settlements related to payments made by foreign subsidiaries in connection with the U.N. oil-for-food program. via Canadian Business Magazine Read full story

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“One of the most important opportunities before us is harnessing our unique ability to simplify information technology” It is clear that Dell’s management wants to return Wall Street’s focus to the company’s efforts to generate future sales growth and profits, but despite the announcement, the company’s worries over past … via CIO Today Read […]

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Topix SEC News“It is not the huge number that is key here, but the fact that Merrill Lynch had a number but came out with a much bigger one shortly after.” The US Securities and Exchange Commission heaped further woes upon Merrill Lynch, the beleaguered Wall Street firm that has reported record losses and […]

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