An officer of fuel provider World Fuel Services Corp. bought 3,000 shares of common stock, according to a Securities and Exchange Commission filing Thursday.Read full story
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American Axle and Manufacturing Holdings Inc. Chairman and CEO Richard Dauch has been awarded an $8.5 million bonus in part for leading the auto parts supplier through a bitter strike.Read full story
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Topix SEC NewsBig corporations are on the defensive against activist shareholders due to the bitter, and ongoing, proxy battle between railroad concern CSX and hedge fund The Children’s Investment Fund.Read full story
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Topix SEC NewsThe Securities Industry and Financial Markets Association’s Credit Rating Agency Task Force has stated that it supports the aspects of the Securities and Exchange Commission’s proposal on rules relating to …Read full story
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Topix SEC NewsAmerican Axle & Manufacturing Holdings Chief Executive Officer Richard Dauch received an $8.5 million bonus in addition to his $1.5 million salary, according to a filing with the U. S. Securities and Exchange …Read full story
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Highlights of a recent amendment to Rule 3011, which requires securities firms to establish independent testing of their AML program.Read full story
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Answers to common questions about the new NASD and NYSE branch office definition for securities firms and related filing requirements.Read full story
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A review of commonly asked questions about NASD Rule 3012 on topics such as who is considered a producing manager, the limited size and resources exception, and principal review.Read full story
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An overview of a firm’s regulatory responsibilities in outsourcing activities to third party service providers.Read full story
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This podcast discusses important compliance issues surrounding Indexed Annuities and Notice to Members 05-50.Read full story
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This podcast summarizes recommendations from a NASD Task Force regarding transfers of customer accounts from one brokerage firm to another through the Automated Customer Account Transfer System also known as ACATS.Read full story
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This podcast explains in plain English what to expect when filing communications with NASD’s Ad Reg department. Host: Mary Schapiro. Presenters: Amy Sochard and Derek Ashworth. Producer: Innessa Manning.Read full story
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This podcast provides an overview of NASD guidance on private placements of tenants-in-common interests in real property offerings. Hosted by Terry Miller. Writer: Eileen Morris. Producer and Writer: Kenneth Edward Piner.Read full story
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This podcast defines what structured products are and discusses related guidance presented in Notice to Members 05-59. Hosted by Karin Marshall. Producer and Writer: Kenneth Edward Piner.Read full story
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NASD Chairman and CEO Mary Schapiro presents an overview of the proposed consolidation of NASD and New York Stock Exchange (NYSE) regulation, including details on the transaction, the benefits of consolidation, the planned governance structure and voting procedures. Producer: Kenneth Edward Piner.Read full story
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This podcast is the recording of an educational telephone conference held by NASD on Wednesday, January 24, 2007. The call discussed the expansion of the OATS Rules to OTC Equity Securities. Hosted by Paul McKenney. Producer: Kenneth Edward Piner.Read full story
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This podcast provides an overview of findings from a recent survey NASD conducted on the effectiveness of Business Continuity Plans used by members during Hurricanes Katrina and Rita. Hosted by John Barron. Producer and Writer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast in the “What to Expect” series, focuses on the process for filing Continuing Membership Applications. Host: Mary Schapiro, Chairman and CEO. Presenters: Lorraine Lee and Deb Siluk. Producer: Kenneth Edward Piner.Read full story
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Following guidance presented in Notice to Members 06-38, this podcast, the audio version of a webcast developed for Frontline Staff, discusses issues and concerns surrounding the sale of an existing variable life insurance policy to a third party, also known as life settlements. The program covers the considerations a registered representative should assess before recommending […]
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This podcast, the audio version of a webcast developed for Frontline Staff, reviews important issues surrounding identification and reporting of money laundering activity. Presenter: Alma Angotti; Producer: Kenneth Edward Piner.Read full story
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This podcast discusses issues to consider when supervising newly hired registered representatives with an existing book of business. Presenter: Kosha Kantharia Dalal; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for the “What to Expect” series, focuses on the process for submitting Form U4 and Form U5 filings. Host: Mary Schapiro, Chairman and CEO. Presenters: Bernard Howard and Rita L. Lee; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, discusses what registered representatives need to know to meet their books and records obligations for new account forms and order tickets. Host: Jay Knight; Producer: Kenneth Edward Piner.Read full story
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This podcast provides an overview of NASD’s compliance-related education and training programs. Hosts: Jeffrey Lamoreaux and Rosa Maymi; Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of NASD Vice Chairman Doug Shulman’s speech at the 2007 Spring Securities Conference; Producer: Kenneth Edward Piner.Read full story
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A recap of upcoming regulatory deadlines, new Notices to Members, press releases and other updates of interest to compliance and operations staff in the securities industry with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of the Municipal and TRACE Transaction Reporting Teleconference from June 20, 2007. Moderator: Malcolm Northam; Producer: Kenneth Edward Piner.Read full story
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This podcast provides an overview of the new interpretation of the rule that guides pricing of debt securities, except municipal securities. Hosts: Ingrid Hayes and Malcolm Northam; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices to Members, compliance resources and news from June 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices to Members, compliance resources and news from July 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of the OATS for OTC Equity Securities Second Educational Teleconference held on August 15, 2007. Moderator: Paul McKenney. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from August 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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FINRA CEO Mary Schapiro discusses the many challenges small firms face and what FINRA is doing to help. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from September 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, explains guidelines that a representative should follow when engaging in any business activity that is not part of his or her work for the firm. Host: Janet Marsh; Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of FINRA’s Senior Executive Vice President of Regulatory Policy and Programs Elisse Walter’s Speech at the 2007 Fall Securities Conference. Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, reviews considerations a registered representative should employ when interacting with a senior customer. Hosts: Liz Amundson and Greg Taylor; Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of FINRA CEO Mary Schapiro’s Speech at the 2007 Fall Securities Conference. Producer: Kenneth Edward Piner.Read full story
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This podcast outlines a new, voluntary partnership program that helps firms provide service to their customers during an emergency. Host: Julie Hoffman; Producer: Kenneth Edward Piner.Read full story
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This podcast presents FINRA’s top examination priorities and ways firms can avoid common exam-related pitfalls. Hosts: Thomas Christel and Louis DeLouker; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, explains procedures a registered representative should follow when determining the suitability of an institutional customer. Host: Sheila Haney; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from October 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, emphasizes the importance of establishing suitability when recommending that a client exchange products. Host: Tom Drogan; Producer: Kenneth Edward Piner.Read full story
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This podcast focuses on suitability considerations that firms and representatives should keep in mind when working with senior customers. Hosts: John Komoroske and Elisse Walter; Producer: Kenneth Edward Piner.Read full story
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This podcast focuses on communications considerations that firms and representatives should keep in mind when working with senior customers. Hosts: John Komoroske and Elisse Walter; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from November 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast examines how “free lunch” seminars are sometimes used to mislead senior investors-and how FINRA is responding. Hosts: John Komoroske and Elisse Walter; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for Frontline Staff, discusses a registered representative’s responsibilities when giving business gifts. Host: Dave Troutner; Producer: Kenneth Edward Piner.Read full story
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This podcast discusses the sensitive issues of working with customers who show signs of diminishing mental capacity and responding to suspected financial abuse. Hosts: John Komoroske and Elisse Walter; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from December 2007 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for the “What to Expect” series, focuses on the Anti-Money Laundering reviews conducted during FINRA’s routine examinations. Host: FINRA CEO Mary Schapiro; Presenters: Sheila Haney and Alistair Johnson; Producer: Kenneth Edward Piner.Read full story
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FINRA CEO Mary Schapiro discusses what it means for FINRA to be a modern regulator. Producer: Kenneth Edward Piner.Read full story
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This podcast discusses FINRA’s Fairness Opinion rule. Hosts: Gary Goldsholle and Kathryn Moore; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a FINRA webcast, describes what to be aware of when supervising sales to seniors. Hosts: Liz Amundson and Greg Taylor; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from January 2008 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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FINRA CEO Mary Schapiro discusses one of FINRA’s top priorities: protecting senior investors from fraud. Producer: Kenneth Edward Piner.Read full story
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This podcast presents guidance on designing procedures for reviewing electronic communications. Hosts: Patricia Albrecht and Jeffrey Lamoreaux. Producer: Kenneth Edward Piner.Read full story
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Registered Representatives’ responsibilities when recommending variable annuities are the focus of this podcast, the audio version of a webcast for frontline staff. Host: Stephanie Dumont. Producer: Kenneth Edward Piner.Read full story
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A FINRA staff member discusses considerations for supervising recommendations of deferred variable annuity transactions in this podcast, the audio version of a webcast for supervisors. Host: Terry Miller. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from February 2008 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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This podcast explains how firms can now rely on Web CRD to satisfy requirements to retain records of certain forms. Hosts: John Nachmann and Stefanie Watkins. Producer: Kenneth Edward Piner.Read full story
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This podcast presents guidance on what electronic communications your firm’s policies and procedures will permit employees to use and who will be responsible for supervisory reviews. Hosts: Patricia Albrecht and Jeffrey Lamoreaux. Producer: Kenneth Edward Piner.Read full story
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This podcast explains the process for FINRA’s rulebook consolidation and what firms can expect from it. Hosts: Michael Rote and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from March 2008 with your hosts, Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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Methods firms should consider when reviewing electronic correspondence and developing related procedures. Hosts: Patricia Albrecht and Jeffrey Lamoreaux. Producer: Kenneth Edward Piner.Read full story
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FINRA’s CEO Mary Schapiro talks about the ongoing integration of NASD and NYSE Regulation, including an update on the rulebook consolidation. Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for the “What to Expect” series, focuses on what firms should expect during the cycle examination process and how they can prepare. Host: FINRA CEO Mary Schapiro; Presenters: Jeffrey Stouffer and Yolanda Trottman; Producer: Kenneth Edward Piner.Read full story
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A review of a new exception to the principal approval requirements for some sales material that firms file. Hosts: Ruth Finglass and Theodora Richardson; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from April 2008. Hosts: Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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FINRA staff discuss practices for protecting against “rogue” trading and describe some red flags to help identify it. Hosts: Laura Gansler and Thomas Holloman; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a webcast developed for the “What to Expect” series, focuses on FINRA’s rulemaking process. Host: FINRA CEO Mary Schapiro; Presenters: Susanne Henke and Gena Lai; Producer: Kenneth Edward Piner.Read full story
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This podcast describes a recent rule change related to firms’ distribution and supervision of third-party research reports. Hosts: Julia Bogolin and Phil Shaikun; Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from May 2008. Hosts: Michelle Volpe-Kohler and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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FINRA staff discuss a new exemption from the Research Analyst Qualification Exam for foreign research analysts. Hosts: Andrea Orr and Phil Shaikun. Producer: Kenneth Edward Piner.Read full story
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This podcast is the first in a two-part series on the essential elements of the Customer Identification Program, an AML requirement. Hosts: Glen Jackson and Helena Johnson; Producer: Kenneth Edward Piner.Read full story
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This podcast, the audio version of a FINRA webcast, focuses on Anti-Money Laundering compliance for firms that work with institutional clients. Host: Francine Nisbet; Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsThe Senate confirmed Elizabeth Duke on Friday to become a member of the Federal Reserve, which has been battling housing, credit and financial crises with a short staff.Read full story
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Federal Reserve Chairman Ben S. Bernanke and Securities and Exchange Commission Chairman Christopher Cox were ordered by two top senators not to proceed with a deal overseeing Wall Street until consulting with …Read full story
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Topix SEC NewsAmerican Italian Pasta Co. ’s filing of financial information for its 2006 and 2007 fiscal years contained positive news on two fronts.Read full story
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SEC News DigestRead full story
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Digital security company Digimarc Corp. on Monday said it will spin off its digital watermarking business.Read full story
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Topix SEC NewsThe chief financial officer at oil and natural-gas producer Swift Energy Co. sold 2,500 shares of common stock, according to a Securities and Exchange Commission filing Wednesday.Read full story
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Topix SEC NewsBusiness Wire Source: Business Wire Wordcount: 444 Business Editors WEST DES MOINES, Iowa– –June 26, 2008–American Equity Investment Life Holding Company is a leading underwriter of index annuities, which …Read full story
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Topix SEC NewsThe 4.1 million shares were acquired at a cost of $107.6 million, for what are described as “investment purposes”. According to a report by the Associated Press via Forbes.com, lead financier Steven A. Cohen …Read full story
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On June 25, 2008, it was brought to the Company’s attention that certain websites have incorrectly reported that, as of January 1, 2008, Pyramid had proved crude oil reserves of 806 million barrels of oil.Read full story
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SEC News DigestRead full story
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Topix SEC NewsThe discount brokerage firm Scottrade Inc. on Tuesday agreed to pay $950,000 to settle charges leveled by the Securities and Exchange Commission over the handling of trade executions.Read full story
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Topix SEC NewsSonics Inc. has withdrew its plan for an initial public offering of its common stock, according to a filing from U.S. Securities & Exchange Commission .Read full story
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WASHINGTON: The Securities and Exchange Commission plans to propose rules that may diminish the traditional weight credit ratings carry in many markets, The Wall Street Journal reported online Tuesday.Read full story
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Topix SEC NewsA director of regional bank operator Anchor BanCorp Wisconsin Inc. bought 10,000 shares of stock, according to a Securities and Exchange Commission filing Monday.Read full story
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Topix SEC NewsSecurities regulators are planning to issue a blueprint to revamp disclosure requirements for public companies, mutual funds, brokers, and other regulated entities.Read full story
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SEC News DigestRead full story
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In a move to be more competitive against faster moving markets, dark pools and alternative trading systems that have eroded its market share, the New York Stock Exchange is proposing new rules that will phase …Read full story
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American Italian Pasta Co. on June 16 filed its first financial report in more than three years by restating previously filed financials for the period of 2000 to 2005.Read full story
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Until the economy turned south, Las Vegas casino companies enjoyed a robust 2007, rewarding executives and leading a pair of brothers to a pot of gold at the end of their rainbow.Read full story
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Topix SEC NewsThe top executives of three Oklahoma energy companies hauled in eight-figure compensation packages last year.Read full story
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If there is any overarching lesson to be learned from the subprime housing debacle it is that lax regulation invites abuse and economic damage.Read full story
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