More light shed on \”the switch\’ SEC proposes uniform method for calculating an advisory firm\’s assets under management The shifting of thousands of investment advisers to state regulation is months away, but the Securities and Exchange Commission is busily laying the groundwork for the transition.Read full story
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Taking their own advice, reps reinvest the proceeds from the sale in other stocks By Bruce Kelly November 28, 2010 6:01 am ET Looking to diversify and raise cash to pay taxes, big-producing and long-tenured advisers affiliated with LPL dumped shares and cashed out during the company\’s initial public offering this month.Read full story
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As a preliminary perhaps I might answer any questions that are in your mind growing out of the last lecture, which ended rather precipitously.Read full story
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Topix SEC NewsAn unlikely ad has been getting screen time in Manhattan movie theaters that cater to a Wall Street crowd.Read full story
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Topix SEC NewsSTILLWATER MINING COMPANY — On November 29, 2010, Stillwater Mining Company announced a secondary offering of 37,000,000 shares of its common stock by its majority stockholder, Norimet Limited , pursuant to a shelf registration statement filed 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
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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
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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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The second podcast in a two-part series on funding and liquidity risks includes more ideas to consider when developing related policies and procedures.Read full story
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Genzyme Corporation announced today that the company has ended fill/finish operations within its Allston plant for products sold in the United States, as required by the FDA consent decree.Read full story
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This Thanksgiving, Governor-Elect Andrew Cuomo is giving turkeys to the hungry. He\’s got encouraging words for those helping feed the needy as well.Read full story
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Topix SEC NewsIn a big victory for federal prosecutors, Galleon Group hedge fund founder Raj Rajaratnam lost his bid to suppress secretly recorded conversations from his pending criminal trial on insider-trading charges.Read full story
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Topix SEC NewsFirst Place Financial Corp. today reported that it has received a letter from The Nasdaq Stock Market , dated November 19, 2010, indicating that the Company is not in compliance with the filing requirements for continued listing under Nasdaq Marketplace Rule 5250 .Read full story
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Topix SEC NewsHigh-yield investment programs , or HYIPs, are one of the hottest investment scams today.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
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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
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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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Federal prosecutors in New York are in the advanced stages of an extensive insider-trading investigation that could lead to criminal charges against Wall Street traders and executives, the Washington Post reported Saturday, citing unnamed federal law enforcement officials.Read full story
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Topix SEC NewsHedge-fund and private-equity managers will have to open their books to surprise examinations by the Securities and Exchange Commission under a controversial proposal approved by the agency on Friday, about four years after a court struck down a similar SEC rule.Read full story
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Former Obama car czar Steven Rattner has agreed to pay $6.2 million to settle federal charges over his role in a paytoplay scandal, but said he won\’t be \”bullied\” by New York\’s attorney general into accepting a harsher penalty in a parallel state case.Read full story
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Topix SEC NewsNovember 21, 2010 6:01 am ET Advisers balk at SEC\’s focus on pay A series of stories recently appearing online and in our print edition about SEC Chairman Mary L. Schapiro\’s scrutiny of broker pay struck a nerve with readers.Read full story
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BESIDES handing over The Nigerian Stock Exchange to an interim administrator to run a few months back, the Securities and Exchange Commission ordered a forensic audit of its accounts.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
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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
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
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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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Part one in a two-part series on funding and liquidity risks describes why they are of particular concern and basic policies and procedures to address them.Read full story
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Topix SEC NewsDrug development company Curaxis is pulling back on its plans to raise up to $25 million through a stock offering, likely setting back plans to further develop the companya s treatment for Alzheimera s disease.Read full story
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Topix SEC NewsSteven Rattner, the former Obama administration auto industry czar, was sued by New York\’s attorney general for allegedly paying kickbacks to win investments from the state\’s public pension fund.Read full story
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Steven Rattner, the former Obama administration auto industry czar, was sued by New York\’s attorney general for allegedly paying kickbacks to win investments from the state\’s public pension fund.Read full story
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Topix SEC NewsThe Obama administration\’s former auto czar agreed Thursday to pay $6.2 million to settle civil charges over his role in an influence-peddling scandal involving New York state\’s public pension fund.Read full story
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Topix SEC NewsTwo longtime back office employees of Bernard Madoff were arrested Thursday on charges that they helped the disgraced financier dupe investors for decades by making fictitious investments - and that they cashed in on the epic Ponzi scheme themselves.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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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
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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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The Securities and Exchange Commission has filed a suit against two North-Texas based securities firms, alleging the companies defrauded clients who entrusted them with money to invest in oil and gas securities.Read full story
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Topix SEC NewsHOFFMAN ESTATES ,A Ill. Former Kmart CEO Charles Conaway has agreed to drop his appeal of a $10 million fine levied last year by the Securities and Exchange Commission for his role in misleading investors.Read full story
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November 11, 2010 3:34 pm ET The U.S. Securities and Exchange Commission sued a Michigan man, claiming he spent millions of dollars from an alleged Ponzi scheme to buy and upgrade a home and an equestrian facility in Florida.Read full story
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Topix SEC NewsThree bond trade associations have asked the Securities and Exchange Commission to limit the fees that Standard & Poor\’s charges for identification numbers for bonds and other financial instruments.Read full story
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Topix SEC NewsSam and Charles Wyly should not be held liable for insider trading or other misdeeds the Securities and Exchange Commission has alleged theya ve committed because theya ve done nothing wrong.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
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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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This podcast, the third in a three-part series on municipal securities, explores considerations for firms when gathering and disclosing information about these products.Read full story
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Topix SEC News\” In the aftermath of the \”flash crash\” that rattled the markets worldwide on May 6, the head of the Securities and Exchange Commission said she is looking at whether new restrictions should be placed on traders that use mathematical algorithms.Read full story
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The Securities and Exchange Commission headquarters. Has the Securities and Exchange Commission bungled its disclosure rules? That\’s the question being whispered around Wall Street trading floors after a series of company disclosures in recent weeks from the likes of Microsoft and Google that appear to have created an awful lot of confusion, …Read full story
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Cincinnati Bell Inc. today announced that it has priced a public offering of an additional $275 million aggregate principal amount of its 8?% senior notes due 2020.Read full story
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Topix SEC NewsAn Intel executive is barred by the U.S. Securities and Exchange Commission over an insider trading ring, according to Bloomberg.Read full story
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Charts tracking stock index funds are displayed during a Senate Banking Committee hearing on the causes and lessons of the May 6 stock market plunge in Washington, D.C., U.S., on Thursday, May 20, 2010.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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Revisit the latest FINRA Notices, compliance resources and news from October 2010.Read full story
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Topix SEC NewsSecurities and Exchange Commission The Securities and Exchange Commission is set to vote on November 3 on whether to adopt a proposed ban on a oenaked access,a The Wall Street Journal reports.Read full story
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Topix SEC NewsThe SEC voted unanimously on Wednesday to require brokerages to have rules in place to protect against potential mishaps from unlicensed traders when brokerages rent out their access to the markets.Read full story
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The Securities and Exchange Commission voted Wednesday to bar broker-dealers from granting traders unfiltered access to an exchange or trading venue, a move aimed at preventing a trading error from causing a severe market disruption.Read full story
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