FINRA staff discuss examples of registered representatives’ misconduct, as featured in the April issue of FINRA\’s Quarterly Disciplinary Review.Read full story
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Topix SEC NewsTime Warner acknowledged to the Securities and Exchange Commission Tuesday that Charlie Sheen is suing its Warner Bros.Read full story
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Topix SEC NewsThey may make their money differently, but when it comes to the new Wall Street reforms, hedge fund, private equity and venture capital representatives are telling federal regulators the same thing: Should some of their firms collapse, they aren\’t big enough to torpedo the entire economy.Read full story
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U.S. securities regulators proposed new rules on Wednesday designed to restore lending discipline, and to bolster the independence of compensation committees at public companies and the consultants who serve them.Read full story
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Topix SEC NewsThe fallout from the biggest white-collar federal prosecution in Connecticut is being felt a continent away in Venezuela, where hundreds of millions of dollars from a state oil workers\’ pension fund were invested with a now disgraced financier.Read full story
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Topix SEC NewsUnsolicited takeover bids last week for two major U.S. corporations have been dismissed by company officials and referred to the Security and Exchange Commission as apparent hoaxes.Read full story
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The CEO of Wendy\’s/Arby\’s Group Inc. got a pay package in 2010 that was worth 43 percent more than he made in 2009, in part because this was the year he received a three-year bonus, according to An Associated Press analysis of a regulatory filing.Read full story
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Topix SEC NewsSprint Nextel Corp. President and CEO Daniel R. Hesse received total compensation valued at $9.1 million last year, a 26 percent drop from what he received in 2009, according to an Associated Press calculation of data filed with regulators.Read full story
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Higher-than-expected expenses at Tasty\’s new facility at the Navy Yard are among the problems the company is facing.Read full story
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Topix SEC NewsSEC budget woes on full display at conference Officials forced to go virtual rather than show up in person; plenty of glitches By Mark Schoeff Jr.Read full story
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Topix SEC NewsShares of CVB Financial Corp. rallied more than 10% Tuesday after the California bank said it sold troubled loans for $41 million.Read full story
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Topix SEC NewsEnergy provider Dominion Resources Inc., awarded its CEO Thomas Farrell II a compensation package valued at more than $14.9 million in fiscal 2010, up 44 percent from fiscal 2009, according to an Associated Press analysis of a regulatory filing.Read full story
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The widow of a Navy officer killed in the terrorist attacks at the Pentagon on Sept.Read full story
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Topix SEC NewsDow Chemical Co.\’s top executive received a 13 percent increase in compensation last year with a pay package valued at $17.7 million, according to calculations based on a filing the company made Friday with the Securities and Exchange Commission.Read full story
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Topix SEC NewsCapital market stakeholders on Saturday decided to recommend that the Securities and Exchange Commission should take more time for amending the book-building method, prolonging the suspension imposed on the method.Read full story
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Topix SEC NewsThe directive came without explanation: Report to company headquarters in Louisville in three days.Read full story
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Agam Shah 23 March, 2011 07:57 Companies with operations in Japan are repairing factories and accounting for employees as recovery continues in the aftermath of a devastating earthquake and tsunami that struck the country\’s eastern coast on March 11.Read full story
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U.S. federal prosecutors plan to call Lloyd Blankfein, the chief executive of Goldman Sachs Group Inc,, to testify in the insider-trading trial of Galleon Group hedge-fund manager Raj Rajaratnam.Read full story
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Topix SEC NewsVincent P. McCrudden, a former hedge-fund manager at Alnbri Management LLCS. Source: Alnbri.com via Bloomberg For Vincent P. McCrudden, the former hedge-fund manager charged with threatening to kill financial regulators including U.S. Securities and Exchange Commission Chairwoman Mary L. Schapiro, his prosecution is the culmination of a decade-long …Read full story
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Topix SEC NewsThe top U.S. securities regulator called for new rules to help protect exchanges and other trading venues from computer-generated volume spikes and hackers seeking to harm the country\’s capital markets.Read full story
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Topix SEC NewsThe Securities and Exchange Commission has decided to extend its 147,000-square-foot lease at Cafferty Commercial Real Estate Services\’ 6432 General Green Way office building in Alexandria.Read full story
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SEC News DigestRead full story
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FINRA staff highlights FINRA Rules 2111 (Suitability) and 2090 (Know Your Customer).Read full story
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Jim Edwards, a former managing editor of Adweek, has covered drug marketing at Brandweek for four years, and is a former Knight-Bagehot fellow at Columbia University\’s business and journalism schools.Read full story
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Topix SEC NewsDuke Energy Corp.\’s CEO\’s total pay package increased 29 percent in 2010 as the utility\’s performance improved with stronger demand, according to an Associated Press analysis of data filed with regulators.Read full story
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The 2010 pay package online marketplace operator eBay Inc.\’s CEO rose 22 percent to $12.4 million from the previous year, according to an Associated Press analysis of a Monday regulatory filing.Read full story
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Topix SEC NewsThe CEO of Starwood Hotels & Resorts Worldwide Inc. received a pay package worth $9.5 million in 2010, up 7 percent from 2009, according to a regulatory filing the company made Monday.Read full story
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St. Anselm Exploration Co. on Monday denied allegations in a civil lawsuit filed last week by the U.S. Securities and Exchange Commission alleging that the Denver-based oil and gas company engaged in a \”Ponzi-like\” scheme.Read full story
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Topix SEC NewsGood luck to Rajat Gupta on this one. The accused corporate Benedict Arnold struck back at securities regulators Friday, accusing them in a lawsuit of running roughshod over his due process rights.Read full story
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Federal regulators have filed suit against a Denver-based oil and gas exploration company and four of its officials, accusing them of a \”Ponzi-like\” scheme that may have left roughly 200 investors out a total of more than $62 million.Read full story
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Topix SEC NewsFederal officials have accused a Greensboro hedge fund manager of getting $200,000 out of his accounts after a judge ordered his assets frozen as part of a civil fraud case.Read full story
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Fifty-three members of Congress - including all of Mississippi\’s - this week asked the Securities and Exchange Commission to prioritize a decision about whether Stanford investment victims qualify for federal assistance.Read full story
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International Business Machines, the world\’s largest computer services provider, agreed to pay US$10 million to settle US regulators\’ accusations that it gave cash and gifts to Chinese and South Korean officials in connection with about US$54 million in government contracts.Read full story
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FINRA staff reviews a July 2011 Order Audit Trail System expansion requiring firms to report all national market system stocks, and explains technical enhancements to OATS.Read full story
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Topix SEC NewsA key Republican lawmaker said Tuesday she does not support rolling back the Securities and Exchange Commission\’s funding to fiscal 2008 levels, a move that has been broached by House Republicans for all federal government agencies.Read full story
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Topix SEC NewsThe former chief executive of Freddie Mac may face a civil action as the government ramps up an investigation of disclosure practices at the mortgage finance giant and its sister company, Fannie Mae, people briefed on the investigation said.Read full story
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Topix SEC NewsA former Indianapolis businessman and top Republican donor was indicted Wednesday on charges stemming from an investigation into whether he operated a Ponzi scheme to defraud investors of hundreds of millions of dollars.Read full story
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The U.S. Securities and Exchange Commission\’s decision to file an administrative action against ex-Goldman Sachs Group Inc.Read full story
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The House Oversight Committee has subpoenaed records from Bernard Madoff Trustee Irving Picard to determine if a former Securities and Exchange Commission lawyer should have advised the agency on Madoff matters because he inherited money from a Madoff fund.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
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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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MEMPHIS - The owner of Elvis Presley Enterprises said it is scaling back plans to redevelop the Graceland attraction due to a difficult economic climate.Read full story
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In a few short years, Macau has become the world\’s greatest casino profit center and the envy of much of the gaming industry.Read full story
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Topix SEC NewsThe government is analysing the pros and cons of introducing more merchant banks aimed at stabilising the capital market.Read full story
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The former chief executive of Fannie Mae announced that he is being investigated by the Securities and Exchange Commission after receiving a Wells Notice - notification of impending charges.Read full story
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Topix SEC NewsEnergy Earth, encouraged by the rising demand for coal, will open a second coal depot in the Bang Pa-in Industrial Estate in the middle of this year as planned.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
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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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Carl Icahn has put forward three candidates for Mentor Graphic\’s board. New York hedge fund Casablanca Capital LLC on Thursday withdrew its three candidates for Mentor Graphics Corp.Read full story
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When Steve Jacobs joined Las Vegas Sands in 2009, the company was sinking. The Sands, which owns the Venetian resort, saw its stock price hit an alarming low, below $2 a share, around the time Jacobs, a 47-year-old Harvard graduate with a boyish face and close-cropped silver hair, took a job heading Sands China, which […]
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Topix SEC NewsNokia Corporation Stock Exchange Release March 11, 2011 at 14.00 Espoo, Finland - Nokia filed its annual report on Form 20-F for 2010 with the US Securities and Exchange Commission today.Read full story
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Patriot Coal\’s Rivers Edge Mine in Wharton has been temporarily closed because of flooding in a sealed area.Read full story
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Topix SEC NewsCEO Dirk Meyer received a pay raise in 2010 for his work helping to revive Advanced Micro Devices\’ performance.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
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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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FINRA Chairman and CEO Rick Ketchum discusses developments in the fixed income markets, including areas of regulatory concern and focus.Read full story
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Calling Siemens \”manipulative and malicious,\” one of HearUSA \’s top shareholders has fired off a letter to the West Palm Beach-based company\’s shareholders, defending its finances and future.Read full story
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Topix SEC NewsThe owner of Elvis Presley Enterprises said Wednesday it is scaling back plans to redevelop the Graceland attraction due to a difficult economic climate.Read full story
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Topix SEC NewsCapital One Financial Corp. awarded its CEO, Richard Fairbank, a compensation package worth nearly $14.9 million in 2010, more than double what he received in 2009, according to an Associated Press analysis of a regulatory filing Wednesday.Read full story
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Topix SEC NewsSettlements of securities fraud lawsuits are increasingly tied to U.S. Securities and Exchange Commission cases, a trend likely to continue as the agency increases enforcement activity, a new report shows.Read full story
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Ontario Securities Commission chairman Howard Wetston says he wants more U.S.-style enforcement out of his regulators.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
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