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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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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Topix SEC NewsThe Obama administration may have to wait several months to implement parts of the landmark Dodd-Frank financial reform law because Congress has yet to approve funds necessary for its implementation.Read full story
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Topix SEC NewsThe Securities and Exchange Commission has charged a San Ramon-based investment adviser for not disclosing a conflict of interest to investors that resulted in the receipt of $400,000 in excess commissions.Read full story
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Federal regulators charged a Boston investment adviser with fraud yesterday for allegedly misleading customers into moving $100 million in assets from a brokerage where he previously worked to his own new financial firm .Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission is considering a civil suit against India\’s Mahindra Satyam seeking damages for fraud in the aftermath of the company\’s near collapse.Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission said Wednesday that Swedish power and automation technology company ABB Ltd.Read full story
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SEC News DigestRead 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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This podcast, the first in a three-part series on municipal securities, focuses on related sales practice and due diligence obligations.Read full story
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Topix SEC NewsThe Securities and Exchange Commission has revoked the registered investment adviser registration of Overland Park-based Sierra Financial Advisors LLC and barred owners Michael Earl and Michael Breakey from working in the investment industry.Read full story
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Topix SEC NewsLast week\’s hearing by the Senate Banking Committee into the Securities & Exchange Commission\’s failure to detect \”Sir\” Allan Stanford\’s alleged fraud was a reminder that the damage to Arkansans has not been measured.Read full story
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Topix SEC NewsAn investor who bought 759 bullish AirTran Holdings Inc. options last week captured a 14-fold gain today after Southwest Airlines Co.Read full story
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Topix SEC NewsAfter keeping the parties\’ lawyers on pins and needles for over a month, Washington, D.C., federal district court Judge Ellen Segal Huvelle said Friday afternoon that she will accept — with a few preconditions — Citigroup\’s $75 million settlement with the Securities and Exchange Commission over the bank\’s inadequate reporting of its exposure […]
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Clean Diesel Technologies, Inc. , a cleantech emissions reduction company providing sustainable solutions to reduce emissions, announced that the Company\’s Form S-4 registration statement regarding its proposed merger with Catalytic Solutions, 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
Winthrop Realty Trust today announced that it has commenced an offering of 3,000,000 common shares of beneficial interest in a registered public offering underwritten by Barclays Capital Inc.Read full story
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Topix SEC NewsA A A A Potash Corp. of Saskatchewan ramped up its defence against mining giant BHP Billiton by filing a lawsuit with the U.S. Securities and Exchange Commission on Wednesday to block BHPa TMs $38.6-billion US hostile bid.Read full story
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The Securities and Exchange Commission\’s chief enforcement official says the agency has toughened its efforts to shut down financial misconduct after failing to act quickly in the cases of R. Allen Stanford and Bernard Madoff.Read full story
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Topix SEC NewsSecurities regulators expressed regret on Wednesday that they did not do enough to stop Allen Stanford\’s alleged $7 billion Ponzi scheme, despite picking up signs of the fraud for almost a decade, according to a watchdog report.Read full story
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Topix SEC NewsEver since the \”flash crash\” of May 6, 2010, investors have been wondering exactly what happened that Friday afternoon.Read full story
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SEC News DigestRead 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
FINRA staff discusses the new FINRA rule on short sale delivery requirements.Read full story
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Topix SEC NewsIn early 2009, Rivet Software had 23 employees and a handful of customers. Today it employs nearly 200, recently quadrupled its office space and has welcomed visitors such as Gov.Read full story
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Topix SEC NewsPresident Obama\’s recent signing of the Wall Street Reform and Consumer Protection Act is widely regarded as the most sweeping financial regulatory overhaul since the New Deal.Read full story
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Mon, Sep 20, 2010, 10:55 pm SL Time, ColomboPage News Desk, Sri Lanka. Sept 20, Colombo: Chairperson of the Securities and Exchange Commission of Sri Lanka Ms.Read full story
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Topix SEC NewsKaren Kaiser stands with her attorney Mark Sherman in front of state Superior Court in Stamford, Conn.Read full story
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SEC News DigestRead 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
Reuters and AlertNet are not responsible for the content of this article or for any external internet sites.Read full story
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A Congressman has moved to repeal the controversial section of the sweeping Wall Street reform bill that appears to give the Securities and Exchange Commission more power to reject requests for information from the public.Read full story
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Topix SEC NewsThe following statement is being issued by the United States Securities and Exchange Commission pursuant to an order of the United States District Court, Central District of California, Western Division.Read full story
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Topix SEC NewsThe Securities and Exchange Commission plans to make new rules governing banks\’ deployment of \”window dressing,\” the practice of reducing a company\’s debt load shortly before providing a required quarterly balance-sheet update to investors, according to a report by The Wall Street Journal .Read full story
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The head of the Securities and Exchange Commission said Thursday the public shouldn\’t be able to see details of the SEC\’s policing of financial firms because it could make the agency\’s job more difficult.Read full story
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SEC News DigestRead full story
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SEC News DigestRead 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
FINRA staff members explain FINRA\’s trading-pause pilot program.Read full story
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Securities and Exchange Commission The Securities and Exchange Commission is reviewing if firms collecting fees for channeling investors into hedge funds are properly overseeing client money, The Wall Street Journal reports.Read full story
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Topix SEC NewsLiberty Mutual plans to raise net proceeds of $1.17 billion by selling a stake in one of its key subsidiaries in an initial public offering, according to a recent regulatory filing by the Boston-based insurer.Read full story
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Raleigh-based Capital Bank Corp . says charge-offs of problem loans and money set aside to compensate for them will drop in the third quarter of 2010.Read full story
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Topix SEC NewsCitigroup Inc. on Monday defended as fair and in the public interest its US$75-million civil settlement with the government over charges it misled investors about billions in potential losses from subprime mortgages.Read full story
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Topix SEC NewsGerman authorities have reportedly searched home and office of Deutsche Telekom CEO Rene Obermann on behalf of US authorities investigating allegations surrounding the purchase of several eastern European units in 2005.Read full story
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SEC News DigestRead full story
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SEC News DigestRead 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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »