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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This podcast covers new FINRA rules about quoting and trading over-the-counter equity securities, and how these rules extend certain Regulation NMS protections to them.Read full story
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Chipotle Mexican Grill said it fired 450 Minnesota workers over their immigration status last year, more than a third of its workforce in the state.Read full story
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The U.S. Department of Education has closed its program review on University of Phoenix, finding that the Apolllo Group Inc.Read full story
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The top lawyer at the Securities and Exchange Commission has been named as a defendant in a lawsuit by the trustee who\’s trying to recover money for victims of Bernard Madoff \’s Ponzi scheme.Read full story
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The Securities and Exchange Commission today charged a group of seven individuals who perpetrated a fraudulent pump-and-dump scheme in the stock of a sham company that purported to provide products and services to fight global warming.Read full story
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Topix SEC NewsThe sale of shares in privately held Internet companies such as Facebook Inc. and Twitter 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
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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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Use of social media in focus SEC begins sweep, Finra mulls issuing new guidance for advisers The SEC and Finra are taking a closer look at how financial advisers use social networking.Read full story
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Reported probe of munis stirs worry about outflows Financial advisers are worried that a report saying the Securities and Exchange Commission is investigating how municipal bond funds price risk in their portfolios may cause investors to rush for the exits - just when things were settling down.Read full story
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Topix SEC NewsUltra Petroleum Corp. today reported 4.4 trillion cubic feet equivalent of total proved crude oil and natural gas reserves for the year-ended December 31, 2010 .Read full story
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Federal prosecutors have shelved a criminal investigation of Angelo R. Mozilo after determining that his actions in the mortgage meltdown - which led to a $67.5-million settlement against him - did not amount to criminal wrongdoing.Read full story
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Topix SEC NewsWashington, D.C., Feb. 18, 2011 - The Securities and Exchange Commission today charged a group of seven individuals who perpetrated a fraudulent pump-and-dump scheme in the stock of a sham company that purported to provide products and services to fight global warming.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 NewsWhile high-profile securities fraud cases involving people like Bernard Madoff have garnered most of the headlines in recent years, the Securities and Exchange Commission has not wavered from its commitment to control insider trading.Read full story
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The Financial Industry Regulatory Authority said Lincoln Financial Securities Inc.Read full story
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Topix SEC NewsAn industry cop has slapped Lincoln National Corp.\’s broker-dealer and financial advisor with a $600,000 fine, saying the units had no idea who was accessing client records for years at a time.Read full story
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U.S. securities regulators have charged controversial Vancouver promoter Sakwinder Narwal with defrauding investors in an alleged pumpand-dump stock scheme.Read full story
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Which insiders are selling and buying chunks of stocks? Below are lists of the top 10 open-market insider purchases and sales filed at the Securities and Exchange Commission Friday, Feb.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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Financially strapped Jefferson County this week received $25 million from a fund that was set up by the U.S. Securities and Exchange Commission to compensate investors and county residents harmed by sour bond deals.Read full story
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A 77-year-old Ohio-based Amish financial adviser defrauded members of his community out of tens of millions of dollars in a Ponzi scheme reminiscent of Bernie Madoff, according to filings from the Securities and Exchange Commission.Read full story
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Topix SEC NewsJailed financier Allen Stanford, accused of running a massive Ponzi scheme, filed a $7.2 billion lawsuit accusing federal prosecutors and regulators of depriving him of his constitutional rights.Read full story
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Ronald Zajac has been a Detroit pension lawyer for decades. \”My name is on the letterhead,\” he told trustees as he made his case for a pension-funded attorney in an ongoing FBI and federal grand jury investigation.Read full story
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Topix SEC NewsGeneral Electric and other large companies are want the Securities and Exchange Commission to consider changing proposed rules to the \”whistleblower\” proposal.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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The $5.8 billion portfolio of Bill Ackman\’s Pershing Square Capital Management is so concentrated, the activist investor can move markets when he makes changes to the hedge fund\’s holdings.Read full story
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Paulson & Co. founder John Paulson, who earned a record amount last year with the help of gold and bank investments, is now counting on Transocean and BlackRock to keep profits rolling.Read full story
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Topix SEC NewsThe president and CEO of the St. Joe Co. sent a letter to employees Tuesday regarding the recent media attention the company has received.Read full story
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Topix SEC NewsRepresentative Barney Frank will push to increase funding for the Securities and Exchange Commission, working against a Republican proposal this week to cut the agency\’s budget.Read full story
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Topix SEC NewsPermit me a brief stroll down memory lane. Grasso Embattled NYSE Chair and CEO Dick Grasso resigned on September 17, 2003, amidst controversy over his alleged $190 million compensation package.A On May 24, 2004, Grasso was sued by New York State Attorney General Eliot Spitzer, who sought repayment of the bulk of the […]
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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 explains a new FINRA rule, which becomes effective May 27, 2011, governing the allocation and distribution of IPOs of equity securities.Read full story
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Topix SEC NewsArticle by Hillel Cohn On January 21, 2011, the Securities and Exchange Commission released its Congressionally mandated study on the effectiveness of current legal and regulatory standards for broker-dealers and investment advisers .Read full story
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The Securities and Exchange Commission has formed a committee to investigate the February 7 aggressive sales by two brokerage houses.Read full story
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A globally recognized accounting firm is currently seeking a Senior Manager for Alternative Investment Federal Tax work.Read full story
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Topix SEC NewsIowa\’s biggest public employees pension fund and other institutional investors might not have lost hundreds of millions of dollars to an alleged Ponzi scheme if regulators hadn\’t fumbled a 2005 investigation, according to a federal inspector general\’s report.Read full story
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Topix SEC NewsAs more Chinese companies trade on U.S. stock exchanges, investors are increasingly suing them for securities fraud in U.S. courts — and slamming into a host of legal and bureaucratic barriers.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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The Pythagorean Theorem doesn\’t really solve anything — it\’s more like a suggestion or an improvement.Read full story
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Topix SEC NewsRevelations that hackers breached a computer network run by the Nasdaq exchange prompted U.S. Sen.Read full story
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Meat producer Tyson Foods Inc. is paying $5.2 million to settle with the U.S. government over claims that its Mexican poultry subsidiary made payoffs to get products certified for export.Read full story
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Democrats will resist Republican attempts to weaken Dodd-Frank financial reforms through underfunding key U.S. regulatory agencies, Representative Barney Frank told Reuters on Thursday.Read full story
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