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
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
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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 NewsFormer Hewlett-Packard CEO Mark Hurd petitioned a Delaware court Tuesday, Bloomberg reported , to intervene in an HP shareholders\’ lawsuit over his August ouster from the company .Read full story
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Topix SEC NewsThe Securities and Exchange Commission is looking into the booming trade in the privately held shares of popular social networking behemoths such as Facebook, LinkedIn, Twitter and Zynga, according to reports in The New York Times and elsewhere.Read full story
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Topix SEC NewsQwest Communications International Inc. has accelerated the vesting of cash and stock awards for some of its top executives, a move that it says will save it about $120 million in taxes.Read full story
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Topix SEC NewsThe U.S. securities regulator is looking into trading in privately-held Internet companies including Facebook and Twitter , media reports said, citing people familiar with the inquiry.Read full story
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Topix SEC NewsBack in early 2009, I was concerned about the development of secondary market exchanges.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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Topix SEC News27, 2010, 11:30 a.m. It\’s been over three years since credit markets started shaking with the early tremors of the subprime crisis, and two years since that spread into a marketwide collapse.Read full story
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Topix SEC NewsThe penalties consist of $45 million to settle the SEC charges, and $92 million to settle criminal charges announced by the U.S. Department of Justice.Read full story
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Topix SEC NewsThe Securities and Exchange Commission has accused unknown investors in Martek Biosciences Corp.Read full story
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Topix SEC NewsCarl Icahn , chairman of St. Charles, Mo.-based American Railcar Industries, is preparing to cash out of at least a part of his stake in mobile phone appliance maker Motricity 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 »
Topix SEC NewsYesterday, Agria Corporation together with China-based New Hope Group announced a partial takeover offer for PGG Wrightson Limited .Read full story
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Topix SEC NewsKeith Franklin Simmons, the former controller of Black Diamond Capital Solutions in Jefferson, was convicted on money laundering, wire and securities fraud charges Thursday in U.S. District Court in Charlotte.Read full story
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Topix SEC NewsMark V. Hurd is the former chief executive of Hewlett-Packard. Officials with the Securities and Exchange Commission have started a preliminary investigation that centers on Mr.Read full story
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Attorneys for Donald Anthony Walker Young, 39, for-merly of Northeast Harbor, requested and were granted a 60-day extension for sentencing in his criminal case.Read full story
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Athena Silver Corporation , announced today that it will spin-off to its shareholders, pro rata, a majority of its interest in Magellan Gold Corporation .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 is the second in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council\’s most recent Firm Element Advisory.Read full story
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Thiruvananthapuram-born Dr Zachariah P Zachariah, a prominent cardiologist in Fort Lauderdale, Florida, has been exonerated of all charges in a long-standing US Securities and Exchange Commission insider trading case.Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission filed a civil injunctive action against managing members of two now-defunct hedge funds that were based in Bradenton.Read full story
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Topix SEC NewsLenexa\’s Icop Digital Inc., a company headed by former Lt. Gov. Dave Owen, has suspended operations while it seeks investment, according to a document filed with the Securities and Exchange Commission this week.Read full story
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Keeping track of the blame game in Sujata \”Sue\” Sachdeva\’s $34 million embezzlement at Koss Corp.Read full story
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Demand Media, the syndicated online content company that filed for an IPO in August , has modified its filing to the U.S. Securities and Exchange Commission amid reports that the IPO has been delayed because of regulators\’ questions about Demand\’s accounting practices.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 is the first in a three-part series on topics for firms to consider when planning their Firm Element training, as identified in the CE Council\’s most recent Firm Element Advisory.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsGlobal accounting giant Ernst & Young is reported to be facing civil charges for allegedly helping Lehman Brothers Holdings Inc.Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission has begun a probe into Chinese companies listing on U.S. stock exchanges through reverse takeovers, the Wall Street Journal reported, citing people with knowledge of the probe.Read full story
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Federal market regulators charged a former executive of a kids\’ clothing marketer with fraud and insider trading, saying he lied about the company\’s financial picture and sold shares when their price was artificially high.Read full story
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The Securities and Exchange Commission Monday announced a settlement with an auditing firm in relation to allegations of professional misconduct stemming from the material overstatement of the financial results by a Chinese maker of energy-efficient equipment in 2004 and 2005.Read full story
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Michael Dell decided to do a little Christmas shopping, as Dell Inc.\’s chief executive made his first purchase of company stock in more than two years.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 »
U.S. Attorney Preet Bharara, as seen in October, has made broad use of wiretaps — routine in mob and drug cases, but groundbreaking in white-collar inquiries — in the investigation of hedge funds and other financial institutions suspected of insider trading.Read full story
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Public-employee pensions - including New Jersey\’s - have lost money with a Xanadu developer before.Read full story
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Topix SEC NewsTerry Headley Previous positions Full-time career agent and registered representative with Principal Financial Group and its subsidiary broker-dealer, Princor Financial Services Corp.Read full story
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1. Richard G. Ketchum Previous positions Chief executive of NYSE Regulation Inc.Read full story
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Dhaka Stocks had bounced back in the first 10 minutes of trade on Monday, but it started declining fast in the next few hours.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\’s Chairman and CEO Rick Ketchum explains regulatory concerns regarding firms\’ product review processes.Read full story
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Topix SEC NewsAite Group Adds Ex-Bank Of America Exec To Wealth Management Tea Before joining Aite Group, Schmitt served as sales process manager for Bank of America\’s Global Wealth and Investment Management groups, including the former Premier Banking & Investments group.Read full story
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Topix SEC NewsGulfport Energy Corporation today announced a public offering of 3,400,000 shares of common stock by Charles E. Davidson and one of his affiliates.Read full story
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