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
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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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Topix SEC NewsA bipartisan panel investigating the financial crisis has referred cases of potential wrongdoing by financial industry officials to the Justice Department, a person familiar with the matter said on Tuesday.Read full story
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Topix SEC NewsIllinois Gov. Pat Quinn says the Securities and Exchange Commission \”wanted to just look at the bill that we passed … and the pension borrowing.Read full story
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Topix SEC NewsThe Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith Incorporated with securities fraud for misusing customer order information to place proprietary trades for the firm and for charging customers undisclosed trading fees.Read full story
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Topix SEC NewsA former Galleon Group portfolio manager became the latest person to plead guilty in a broad U.S. hedge fund insider trading probe, and said he leaked details about transactions to Galleon founder Raj Rajaratnam.Read full story
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Another day. Another Republican governor taking potshots at Gov. Quinn and the whopping income-tax increase he helped implement this month.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 presents a sampling of new frequently asked questions providing guidance about the trading activity fee.Read full story
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Are you a law or MBA student looking for that perfect summer job?A Do you follow the news about stock trades, mergers and acquistions, and IPOs the way your friends follow the sports pages? According to them, \”The SEC\’s Summer Honors Program gives graduate and JD/MBA students the opportunity to become acquainted with the regulation […]
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Topix SEC NewsThe High Court on Monday summoned chairman of Securities and Exchange Commission for using logo of Bangladesh government in its letter staying the certificate of six brokerage houses.Read full story
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SUBPOENAS FOR DOCUMENTS It is not clear what direction the federal investigation is taking, but Timothy Cahill\’s campaign for governor is a factor.Read full story
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The High Court has censured the Securities and Exchange Commission chairman as he appeared before it in response to its summons to explain why the market regulator used government logo in its notices issued to six brokerage houses.Read full story
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A former Innospec Inc chief executive has settled U.S. regulatory charges accusing him of approving bribery payments by the specialty chemicals company to Iraqi oil officials.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
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Topix SEC News\”What possible risk could a $150 million hedge fund pose to the system?\” said Grange Johnson, who runs LaGrange Capital Partners.Read full story
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Violent protests erupted on the streets of Dhaka on Thursday after trading on the Bangladesh stock exchanges was halted after only five minutes.Read full story
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Federal regulators are requiring firms selling securities tied to mortgages, credit cards and student loans, which froze during the financial crisis, to publicly report information on the loans that back them.Read full story
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Topix SEC NewsWilliam Daley , President Barack Obama \’s new chief of staff, can defer the payment of capital gains taxes on his sale of almost $8.3 million of JPMorgan Chase & Co.Read full story
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Tulsa World Staff Writer New-York based Cerberus Capital Management LP, a private investment firm, is in exclusive talks with the largest shareholder of Pre-Paid Legal Services Inc.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
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This podcast is the third 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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Topix SEC NewsIn a Oct. 14, 2004 file photo shows Apple CEO Steve Jobs gesturing in Palo Alto, Calif.Read full story
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Topix SEC NewsSteve Jobs is the public face of Apple, but that doesn\’t mean investors get to know every last detail about the CEO\’s health.Read full story
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Topix SEC NewsTrading at the country\’s two bourses will resume on Thursday as usual. The public relations department of Dhaka Stock Exchange told bdnews24.com on Wednesday that trading at the DSE would start at 11am and follow the normal trading schedule.Read full story
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Novell reveals that CPTN Holdings will get patents tied to system management, file management and collaboration technology By Chris Kanaracus, IDG News Service January 18, 2011 03:50 PM ET Additional details have emerged regarding the more than 800 patents Novell is selling to the Microsoft-led consortium CPTN Holdings for US$450 million, about two …Read full […]
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No other bank attracts the venom of the public, politicians and the media like Goldmans.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 NewsA coach at a North Carolina military school who recently bought a $3.9 million home on the South Carolina coast has been charged with securities fraud.Read full story
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Topix SEC NewsExecutives at a small Idaho company aiming to build a nuclear power plant are fighting back against federal securities regulators, contending they never attempted to defraud investors.Read full story
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Goldman Sachs said it will limit its private placement of shares of social networking site Facebook to investors outside the United States, citing \”intense media coverage,\” according to the investment bank.Read full story
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Topix SEC NewsWe are also reiterating our call for the SEC to recommend to Congress that the jurisdiction of the Financial Industry Regulatory Authority Inc.Read full story
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Topix SEC News\’Field of Schemes: If you build it, they won\’t come\’: St. Joe under scrutiny 0 January 17, 2011 8:39 PM Chris Segal Florida Freedom Newspapers To respected Wall Street analyst David Einhorn, the value of St.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 »
The U.S. Securities and Exchange Commission started a broad investigation involving several financial firms to determine whether they made improper payments to secure investments from sovereign wealth funds, according to three people with direct knowledge of the matter.Read full story
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Boingo Wireless Inc., which runs Wi-Fi hotspots in airports and other public locations, is laying the groundwork for an initial public offering.Read full story
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Topix SEC NewsA Nevada man claims St. George businessman and helicopter humanitarian Jeremy Johnson owes him $20 million.Read full story
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Topix SEC NewsAn Indiana businessman has agreed to pay $3 million and never run a public company again to settle allegations by regulators that he carried out three separate fraud schemes over 5 years.Read full story
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The former chief executive of Delphi Corp. was cleared Thursday of the most serious charges in a civil trial tied to allegations of financial fraud at the auto-parts maker in 2000.Read full story
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SEC News DigestRead full story
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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 December 2010.Read full story
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Topix SEC NewsThe Securities and Exchange Commission is so cash-strapped that it has delayed key parts of the financial reform bill passed last year by Congress — and is curtailing some of its normal operations.Read full story
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