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Content about U.S. Securities and Exchange Commission

March 2, 2012

After publishing our previous article on the preparedness of Maryland's Securities Division last week, we were finally contacted by the department and was able to get some answers about how the State was handling the upcoming rules change. We spoke with Melanie Senter Lubin, Securities Commissioner in the Securities Division at Maryland's Office of the Attorney General for our Q&A session.

February 24, 2012

Approximately five weeks before March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  Both DC and VA encouraged their Investment adviser registrants to begin their process early; in order to avoid the rush, and address any issues that may arise.  Our initial plan was to bring you news from all three areas; DC, VA and MD.  However, several attempts to contact Maryland Securities Division were unsuccessful in landing an interview with either Deputy Commissioner, Dale Cantone or Melanie Sente

February 24, 2012

Approximately five weeks before March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  Both DC and VA encouraged their Investment adviser registrants to begin their process early; in order to avoid the rush, and address any issues that may arise.  Our initial plan was to bring you news from all three areas; DC, VA and MD.  However, several attempts to contact Maryland Securities Division were unsuccessful in landing an interview with either Deputy Commissioner, Dale Cantone or Melanie Sente

February 3, 2012

Approximately 55 days left, before the March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  In Part I, of our article, we spoke with the Associate Commissioner for Washington D.C’s Department of Insurance, Securities, and Banking (DISB).  

February 3, 2012

Approximately 55 days left, before the March 30thdeadline for mid-size Investment Advisory firms to deregister with the SEC and register with their principal states.  In Part I, of our article, we spoke with the Associate Commissioner for Washington D.C’s Department of Insurance, Securities, and Banking (DISB).  

January 27, 2012

March 30, 2012 marks a significant deadline for Investment Advisory (IA) firms throughout the nation.  Due to proposed regulations, which was derived, from Dodd-Frank (Wall Street Regulatory Reform and Consumer Protections Act), SEC has mandated that all mid-size IA firms deregister with the SEC and register with their principal states.  

January 27, 2012

March 30, 2012 marks a significant deadline for Investment Advisory (IA) firms throughout the nation.  Due to proposed regulations, which was derived, from Dodd-Frank (Wall Street Regulatory Reform and Consumer Protections Act), SEC has mandated that all mid-size IA firms deregister with the SEC and register with their principal states.  

August 12, 2015

Executive Chairman of RLJ Lodging Trust (NYSE:RLJ ) filed the following stock transactions with the SEC on August 10, 2015.

Robert Lewis Johnson disposed of RLJ Lodging Trust shares on August 7, 2015, Johnson's transaction was as follows,

July 20, 2015

President and Chief Executive Officer of Ciena Corporation (NYSE: CIEN) filed the following stock transactions with the SEC on July 20, 2015.

Gary B. Smith acquired and disposed of Ciena stock between between July 16, 2015 and July 17, 2015. Smith's transactions were as follows,

July 15, 2015

The Chief Financial Officer of Hanover, Md-based Ciena Corporation (NYSE: CEIN) filed the following stock transaction dated July 15, 2015 with the SEC.

James E. Moylan Jr., Senior Vice President and Chief Financial Officer of Ciena Corporation disposed of 1,000 common stock shares at an average price of $24.57 on July 15, 2015. Moylan held 390,227 shares after the transaction.

The sold shares are valued at approximately $24,570. The transaction adheres to a trading plan dated 10/15/14 under Rule 10b5-1.

July 15, 2015

Bethesda-based DiamondRock Hospitality Co (NYSE: DRH) Chairman of the Board filed with the SEC stock transactions that occurred the same day.

On July 14, 2015, William W. McCarten acquired 54 common stock shares of DiamondRock Hospitality. The transaction is part of additional deferred stock units awarded in connection with the reinvestment of a dividend as required by the terms of the deferred stock units.

The amount of shares held McCarten after the reported transaction is now 357,424.

July 14, 2015

Bruce L. Claflin is better known as Advanced Micro Devices, Inc (NASDAQ:AMD) chairman of the board, but the technology chipmaker chairman also acts as one the directors for Hanover, Md-based Ciena Corporation.

Claflin filed an SEC transaction form on July 13, 2015, for a transaction involving Ciena corp stock on the same day. 400 shares of the company stock was disposed of at an average price of $23.92 per share. Claflin held 61,362 shares of network technology maker's stock after the transaction.

The total value of the shares was $9,568.

July 7, 2015

The vice president of defense contractor, General Dynamics Corporation (NYSE:GD), made the following stock transactions on July 1st 2015, with SEC filing dated July 6th 2015.

Mark Lagrand Burns acquired 155 common stock shares on July 1st giving him a total of 17,629.05 shares after his transactions.

Burns also exercised a stock option derivative at an average price of $143.33. The total number of shares is 1,600 and the expiration is 06/03/2025. The total value of the transaction is $229,328.

April 4, 2012

McLean-based government contractor Science Applications International Corporation (SAIC) (NYSE: SAI) President and Chief Executive Officer, John P. Jumper made the following stock transactions on March 30, 2012.

August 15, 2011

Herndon-based GTSI Corporation(NASDAQ:GTSI), has filed its condensed financial statements for the six months ended June 30, 2011.

The detailed report includes financial data for the second quarter of 2011 as well as a documented history of the company.

The link to the sec file—10-Q quarterly report—can be found by clicking here.

Summary

August 9, 2011

Columbia-based Osiris Therapeutics, Inc. (NASDAQ:OSIR), Inc has filed its condensed financial statements for the six months ended June 30, 2011 and 2010.

The detailed report includes financial data for the second quarter of 2011 as well as a documented history of the company.

The link to the sec file—10-Q quarterly report—can be found by clicking here.