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
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
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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 NewsAs the Dodd-Frank financial overhaul bill moved through Congress this summer, the U.S. Securities and Exchange Commission — virtually unnoticed — gained a powerful new weapon that could significantly increase the agency\’s force and reach.Read full story
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Tiger Asia Management LLC has received a subpoena from the U.S. securities regulator following allegations of insider dealing in Hong Kong, news agency Bloomberg cited a letter by the fund as saying.Read full story
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Topix SEC NewsThe Securities and Exchange Commission is poised to ban brokers from letting clients make unsupervised trades on stock exchanges, as it grows increasingly concerned that a rogue transaction could roil markets.Read full story
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Andrew Cuomo has yet to cut a deal with Steve Rattner over his role in a massive pay-to-play pension fund scandal.Read full story
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SunBelt Investment Partners I LP has so far raised $31.1 million for a private equity fund from 16 investors, according to a recent filing with the Securities and Exchange Commission.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 focuses on sales practice obligations for securities linked to commodity futures.Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission on Monday motioned in federal court to appoint a receiver to distribute the funds of a financier convicted of raising money for Tom Petters a multibillion-dollar Ponzi scheme.Read full story
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Topix SEC NewsNEW YORK/WASHINGTON - Any more changes to U.S. stock markets are on hold at least until December, sources said, as the Wall Street reform bill preoccupies regulators dealing with fallout from the May \”flash crash.\” Rules to make anonymous trading venues known as dark pools more transparent and to ban flash orders that […]
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Topix SEC NewsMassey Energy Company Chief Executive Officer Don Blankenship visits Capitol Hill to answer questions before the Senate Health and Human Services subcommittee hearing on mine safety,A May 20, 2010.Read full story
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Topix SEC News\” A top government official on Tuesday defended the new Financial Stability Oversight Council\’s authority to impose stricter leverage and capital limits on some hedge funds and private equity funds.Read full story
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Oct. 26 — Apollo Group Inc. received a request from U.S. regulators for information on the education company\’s insider trading policies, sending shares down.The Securities and Exchange Commission enforcement division asked for the information, Phoenix-based Apollo said in a regulatory filing.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 »
Topix SEC NewsArticle by David Guin and Christopher R. Uzpen On October 12, 2010, the U.S. Securities and Exchange Commision issued Release IA-3098 setting forth its proposed definition of \”family office.\” On October 12, 2010, the U.S. Securities and Exchange Commission issued Release IA-3098 setting forth its proposed definition of \”family office.\” In this …Read […]
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Washington, D.C. The Securities and Exchange Commission announced Thursday that Office Depot has agreed to pay $1 million to settle federal charges that it overstated earnings and shared information that it failed to include in its public filings.Read full story
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Topix SEC NewsThe agency has conducted 27 meetings with interest groups, banks, brokerages and insurers since Aug.Read full story
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The Securities and Exchange Commission of Cambodia has issued licences to at least five firms to act as brokers, dealers and underwriters on the Kingdoma s upcoming bourse.Read full story
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Keywords : Delaware Supreme Court, poison pill, net operating losses, NOLs, rights plan, Versata, Selectica In Versata Enterprises Inc.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 »
CBay Systems Holdings, whose subsidiaries acquired Franklin-based medical transcription services company Spheris Inc.Read full story
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Topix SEC NewsOffice Depot Inc. on Thursday agreed to pay $1 million to settle federal charges that it overstated earnings and shared information with a select group that it failed to include in public filings.Read full story
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Topix SEC NewsISLAMABAD: The Securities and Exchange Commission of Pakistan is actively monitoring the trading in the stock market for potential violations of securities\’ laws.Read full story
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Topix SEC NewsJust two months after turning heads with its 900,000-square-foot lease at Constitution Center , the Securities and Exchange Commission is in talks with the projecta s owner to give back some of the space if Congress does not approve its requested funding for the current fiscal year.Read full story
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Topix SEC NewsOSK Holding Bhd has announced that OSK Indochina Securities Ltd has been issued the licence for securities firm by Sec the Securities and Exchange Commission of Cambodia .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 »
This podcast, the second in a three-part series on municipal securities, describes recent amendments to the Securities Exchange Act\’s Municipal Disclosure Rule.Read full story
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Topix SEC NewsJury selection is starting in Detroit in a civil trial involving former executives at auto-parts maker Delphi.Read full story
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In a rare decision, the president of the Detroit Economic Club has canceled a speech that was scheduled for next Tuesday by Steven Rattner, former head of President Barack Obama\’s auto industry task force.Read full story
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Topix SEC NewsThe Securities and Exchange Commission on Tuesday charged two hedge fund portfolio managers from metro Atlanta and their investment advisory businesses with defrauding investors of $3.6 million in 2005.Read full story
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Topix SEC NewsThe head of the Securities and Exchange Commission said Tuesday that the agency will have to shift resources from other \”equally deserving areas\” to approve rules from sweeping bank reform legislation.Read full story
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SEC News DigestRead full story
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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 »
FINRA staff discusses examples of registered representatives\’ misconduct, as featured in the October issue of FINRA\’s Quarterly Disciplinary Review.Read full story
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Topix SEC NewsVera Bradley Inc.\’s initial public offering is scheduled for next week, according to Baird, an international services firm participating in the IPO.Read full story
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The report by U.S. regulators on the May 6 plunge took almost five months to complete because the Securities and Exchange Commission lacks access to uniform data about quotes and trades, said Gregg Berman, senior adviser to the director of the SEC\’s division of trading and markets.Read full story
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\”- Tight timetables for banking and securities regulators to write hundreds of rules will not only change the outcome of financial regulation but also will result in lots of mistakes, a key bank lobbyist said Thursday.Read full story
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Topix SEC NewsExperts expose seven misconceptions about international financial reporting standards.Read full story
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Topix SEC NewsSecurities and Exchange Commission and former Countrywide Financial Corp Chief Executive Angelo Mozilo are in discussions to settle the civil fraud case, the Wall Street Journal said, citing people familiar with the matter.Read full story
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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 »