FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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A top prospect for the Supreme Court was a paid member of an advisory panel for the embattled investment firm Goldman Sachs , federal financial disclosures show.Read full story
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None of the Securities and Exchange Commission employees caught using government computers to view pornographic images has been fired, according to the agency.Read full story
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The Securities and Exchange Commission is taking a closer look at whether hedge fund managers abused a practice known as \”side pockets\” to prevent clients from withdrawing billions of dollars during the 2008 financial crisis, the Wall Street Journal reported on Tuesday.Read full story
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Topix SEC NewsBernie Madoff\’s legacy is still influencing the regulatory community. Fraud is as much a part of Wall Street\’s history as the closing bell on the New York Stock Exchange, but the Securities and Exchange Commission\’s recent amendments to its custody rule are intended to make life trickier for any future Madoff.Read full story
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Daniel Sparks , former partner, Head of Mortgages Department for Golden Sachs, Joshua Birnbaum, former Managing Director of Structured Products Group Trading for Goldman Sachs, Michael Swanson, Managing Director for Structured Products Group Trading, and Fabrice Tourre, Executive Director, Structured Products Group Trading for Goldman Sachs are …Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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The SEC browsed for porn? So did everyone else . Last Friday the Securities and Exchange Commission\’s internal investigators revealed that their employees were surfing porn when they should have been watching Wall Street.Read full story
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Topix SEC NewsThe Securities and Exchange Commission last Friday said in a civil complaint that Goldman Sachs & Co.Read full story
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Topix SEC NewsIn an April 15 filing with the Securities and Exchange Commission , Huttig Building Products reported net sales of $103.5 million from continuing operations for the first three months of 2010, approximately 3.5% higher than sales for the same period in 2009.Read full story
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Topix SEC NewsBy DANIEL WAGNER and DAN STRUMPF, AP Business Writers Sun Apr 25, 4:57 am ET NEW YORK As the U.S. housing turned downward in January 2007, a Goldman Sachs trader wrote in e-mails to a woman he apparently was courting that investments he had sold were \”like Frankenstein turning against his own inventor.\” […]
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U.S. Securities and Exchange Commission workers who made a habit of looking at pornography on their government computers, even as the economy was tanking, offered varying explanations when caught.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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This podcast focuses on FINRA\’s rule regarding public offerings in which a participating firm has a conflict of interest.Read full story
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Global miner BHP Billiton has discovered potential violations of anti-graft laws relating to its exploration activities, in another blow to the mining industry\’s tarnished image.Read full story
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Topix SEC NewsGoldman Sachs is still the king of Wall Street - at least when it comes to making money.Read full story
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Topix SEC NewsBritain\’s financial regulator launched a full-blown investigation into Goldman Sachs International on Tuesday after U.S. authorities filed civil fraud charges against its parent bank.Read full story
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Topix SEC NewsThe Securities and Exchange Commission\’s fraud case against Goldman Sachs signals a new era of toughness for an agency beset by a series of public blunders.Read full story
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Topix SEC NewsThe chairman of the Securities and Exchange Commission yesterday pledged better oversight of the nation\’s largest banks after criticism that the agency failed to spot accounting tricks at investment bank Lehman Brothers before it collapsed.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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FINRA staff discuss examples of registered representatives\’ misconduct, as featured in the April issue of FINRA\’s Quarterly Disciplinary Review.Read full story
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In the painful months following Wall Street\’s flirt with financial ruin, no big player has yet been punished.Read full story
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Topix SEC NewsThe German government may consider taking legal action in a case in which Goldman Sachs & Co.Read full story
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Dutch computer chip maker NXP BV says it will seek an initial public offering of its shares.Read full story
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Topix SEC NewsWall Street is more than a little suspicious of today\’s charges by the Securities and Exchange Commission, which has accused Goldman Sachs of lying to investors about who was really behind junk mortgages securities it sold to clients.Read full story
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U.S. stock futures fell, extending the biggest one-day decline in more than two months, after the U.K. and Germany signaled inquiries into Goldman Sachs Group Inc.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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Topix SEC NewsSAN FRANCISCO, USA: Looking at hitting the market with a public offer for the first time, communications chip maker Beceem Communications has filed an S-1 registration statement with the U.S. Securities and Exchange Commission.Read full story
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Topix SEC NewsAdobe, the makers of the Flash animation platform, said Apple\’s refusal to run Flash on the iPad, iPhone and other products could hurt the company\’s bottom line.Read full story
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Last year, Caterpillar Inc. gave Chairman and CEO Jim Owens less than half the $14.6 million compensation he received in 2008 as the world\’s biggest maker of mining and construction equipment endured the recession and eliminated thousands of jobs.Read full story
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Topix SEC NewsFinancial Resources Mortgage President Scott D. Farah of Meredith and CL&M Inc. President Donald E. Dodge of Belmont have been indicted for wire fraud, the U.S. Attorney\’s Office said.Read full story
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SeaChange International, Inc. , a leading provider of software and hardware solutions for video-on-demand television, confirmed today that it has received notice from Ramius Value and Opportunity Master Fund Ltd.Read full story
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FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story
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Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from March 2010.Read full story
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Topix SEC NewsFederal regulators and four states want brokerage firm Morgan Keegan & Co. to repay investors for alleged fraudulent and reckless business practices they say cost customers more than $2 billion.Read full story
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U.S. prosecutors will continue interviewing former American International Group Inc.Read full story
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DG FastChannel, Inc. announced today that it intends, subject to market and other conditions, to offer 3,175,000 shares of its common stock in a registered public offering pursuant to its existing shelf registration statement under the Securities Act of 1933.Read full story
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Topix SEC NewsCalifornia lawmakers took a step Wednesday toward cracking down on the middlemen that help private investment firms land lucrative contracts with the state\’s giant pension funds.Read full story
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Home Depot CEO Frank Blake received compensation valued at $9.9 million in 2009, up 7 percent from a year ago, according to an analysis by the Associated Press.Read full story
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