Topix SEC NewsYahoo and Microsoft have postponed the deadline of the partnership of their Internet search engine and advertising deal, Yahoo announced on Wednesday.Read full story
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The lawyer tracking down money lost in what authorities say was a massive Ponzi scheme run by R. Allen Stanford says he hopes to gain control of more than $1.5 billion that would be then returned to fleeced investors.Read full story
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October 29, 1929: “Black Tuesday” - prices fall sharply and the stock market “crashes.” This “crash” produces a record volume of nearly 16 million shares.Read full story
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Database provider InfoGroup Inc. plans to welcome shareholders to one of its suburban Omaha offices in Papillion for its annual meeting.Read full story
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Topix SEC NewsThe company stressed that it would respond to the world’s largest maker of mobile phones later.Read full story
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Topix SEC NewsA man accused of making more than $7 billion off the investment schemes of jailed financial manager Bernard Madoff drowned after having a heart attack, authorities said Monday.Read full story
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MPS Group, Inc. today announced that it plans to issue its earnings release for the third quarter and nine months ended September 30, 2009, before the opening of market trading on Thursday, October 29, 2009.Read full story
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Anonymous trading venues known as “dark pools” are a technological evolution that have benefitted both institutional and retail trading by bringing down transaction costs, Goldman Sachs Group Inc said in a memo to the Securities and Exchange Commission.Read full story
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Securities and Exchange Commission chief Mary Schapiro brought her reform talk to Wall Street on Tuesday, telling an industry group her agency is looking at the practices of some exchanges that allow select firms access to enhanced trading speed and reiterating administration support for hedge fund registration.Read full story
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FINRA staff discuss new rules that the SEC recently approved for inclusion in the consolidated FINRA Rulebook. Hosts: Bri Joiner and Stan Macel. Producer: Kenneth Edward Piner.Read full story
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FINRA staff discuss examples of registered representatives’ misconduct, as featured in the October issue of FINRA’s Quarterly Disciplinary Review. Hosts: Mike Rote and Jante Santos; Producer: Kenneth Edward Piner.Read full story
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This podcast introduces a new registration category that describes people who supervise or perform investment banking activities. Hosts: Joe McDonald and Phil Shaikun; Producers: Jeffrey Lamoreaux and Kenneth Edward Piner.Read full story
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Topix SEC NewsA Therea s plenty of blame to go around for the crisis that brought the nationa s financial system to the verge of collapse a year ago.Read full story
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Topix SEC NewsThe SEC, which is bringing its enforcement action just three weeks after the scheme began, is seeking an emergency court order to enjoin the broker from further fraudulent activity.Read full story
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Topix SEC NewsTerra Capital, Inc. , a wholly-owned subsidiary of Terra Industries Inc. , today announced the pricing of its private offering of $600 million aggregate principal amount of Senior Notes due 2019 .Read full story
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Topix SEC NewsColumbia Laboratories, Inc. today announced that it has priced a transaction to raise up to approximately $11,772,000 through the sale of up to approximately 10,900,000 shares of its common stock and warrants to purchase 5,450,000 shares of its common stock in a registered direct offering.Read full story
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NYSE Euronext /quotes/comstock/13*!nyx /quotes/nls/nyx has teamed with five operators of alternative-trading systems for a new venture that will pull back the curtain on trading activity in so-called dark pools.Read full story
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ALTO Group Holdings, Inc. is pleased to announce the appointment of Mr. Dale Paisley to the Board of Directors.Read full story
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Topix SEC NewsThe Securities and Exchange Commission still has a securities fraud civil case against six former executives of Cabletron Systems and its spinoffs, it’s just not much of one.Read full story
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Topix SEC NewsThe Securities and Exchange Commission told Congress today to grant regulators ‘direct access to real-time data’ on credit default swaps and other derivatives.Read full story
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Topix SEC NewsA former teenage hacker who once served prison time for an online stock-trading scheme pleaded guilty last week to new charges of cracking a New York-based currency exchange service and gifting himself more than $100,000. Van T. Dinh leaves a federal courthouse in Philadelphia in 2003, when, as a 19-year-old Drexel University student, […]
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Topix SEC NewsBy Ed Leefeldt Oct 10, 2009 It’s never a good sign for the prosecution when the judge starts weeping for the defendant.Read full story
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Federal regulators have approved new rules for stock exchanges for nullifying erroneous trades deemed wildly out of sync with current prices.Read full story
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BELLEVUE, Wash. Symetra Financial Corp. on Monday said it filed a registration statement with the Securities and Exchange Commission for a proposed initial public offering of common stock.Read full story
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WASHINGTON - The Securities and Exchange Commission has opened a probe into whether Hospital Corporation of America violated securities law by manipulating its books and records, according to documents and people familiar with the investigation.Read full story
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Topix SEC NewsThe Securities and Exchange Commission Wednesday said it would appeal the dismissal of its original case against Dallas financier Mark Cuban.Read full story
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Topix SEC NewsEdward P. May was indicted on 59 counts of mail fraud nearly two years after the Securities and Exchange Commission filed a lawsuit to shut down his financial-management company in Lake Orion.Read full story
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Revisit the latest Notices, compliance resources and news from September 2009. Hosts: Kenneth Edward Piner and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
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The final podcast in the three-part series on continuing membership applications describes what occurs after a firm submits one to FINRA. Hosts: Lorraine Lee and Ann-Marie Mason; Producers: Jeffrey Lamoreaux and Kenneth Edward Piner.Read full story
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