The first podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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During the same period, however, the value of the transactions involving private-company stock has consistently grown.Read full story
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Sales of books and magazines fell 6.3% at Books-A-Million, to $385 million, for the year ended January 29, the nation\’s third largest bookstore chain reported in its 10-K filing with the Securities & Exchange Commission Friday.Read full story
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Topix SEC NewsNatick energy management technology firm OutSmart Power Systems LLC has bumped its planned debt round from $1 million to $4.5 million, and brought in a new tranche that boosts the debt financing in the round to $2.6 million, according to federal documents.Read full story
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Topix SEC NewsZillow Inc., which operates the real-estate website Zillow.com, filed for an initial public offering with the Securities and Exchange Commission on Monday.Read full story
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Topix SEC NewsTilman Fertitta has asked fellow McCormick & Schmick\’s shareholders to, in effect, boycott the May 26 annual meeting.Read full story
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The first podcast in a three-part series on FINRA’s 2011 examination priorities, as addressed in FINRA’s annual letter to firms.Read full story
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Topix SEC NewsRenren Inc., China\’s largest social-networking service, filed to raise as much as $584 million in an initial public offering to fund expansion.Read full story
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Topix SEC NewsFormer Schroders muni-bond manager David Baldt is expected to get the SEC\’s verdict on insider-trading charges this week.Read full story
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Topix SEC NewsDenver-based St. Anselm Exploration had only $8,653 in cash by October, after raising $84 million from investors in the previous five years.Read full story
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If only more penny-stock company executives showed the kind of commitment that Donald McGhan had to MediCor Ltd., a Las Vegas-based manufacturer of breast implants.Read full story
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The Securities and Exchange Commission is likely to take a decision tomorrow on the application of Investment Corporation of Bangladesh for floating a Tk 5,000 crore open-ended mutual fund for investment in the capital and money markets.Read full story
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Topix SEC NewsLevel 3 Communications Inc. detailed its plans for financing its planned purchase of Global Crossing in regulatory filings Thursday.Read full story
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The cost of electricity isn\’t going down; in fact, there are efforts right now in Tallahassee to have utility customers pay even more.Read full story
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Topix SEC NewsThe Securities and Exchange Commission is in talks with several major Wall Street banks to settle fraud allegations related to mortgage-bond deals that helped begin the financial crisis, The Wall Street Journal reported, citing people familiar with the matter.Read full story
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Topix SEC NewsCalibra Medical Inc., a developer of a needle-free insulin patch-pen, raised $8.1 million in financing.Read full story
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Tentative moves by the U.S. Securities and Exchange Commission to liberalize the rules governing the sale of shares in private companies are being cheered by Triangle businesspeople, who say raising growth capital would be easier.Read full story
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An overview of FINRA Rule 4160 governing verification of assets custodied at a non-member financial institution.Read full story
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David Sokol\’s defense of his pre-deal trading in Lubrizol Corp. shares is looking shakier.Read full story
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Topix SEC NewsMost of the increase came from a one-time bonus and stock awards. Mr. Murphy didn\’t receive any stock awards the year before.Read full story
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Topix SEC NewsThe St. Joe Co. has cut several executive positions and named a new chief financial officer, according to a regulatory filing issued Monday.Read full story
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Topix SEC NewsA new venture created by Boston-based Putnam Investments plans to invest in bonds backed by subprime mortgages, the catalyst for the U.S. housing crisis.Read full story
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Topix SEC NewsThe Securities and Exchange Commission has been probing whether JPMorgan Chase & Co.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from March 2011.Read full story
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NEW YORK Lloyd Blankfein, the CEO of Goldman Sachs Group Inc., saw his 2010 compensation rise to $14.1 million from just over $1 million in 2009, according to an Associated Press analysis of data filed with regulators on Friday.Read full story
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A federal judge has granted the Securities and Exchange Commission\’s motions for summary judgment against the two remaining defendants in the 2007 GlobeTel Communications civil action.Read full story
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Topix SEC NewsThis is a guest post written by TIME reporter Josh Sanburn. Reports that a little-known Florida company offered to take American Airlines private has befuddled the airline, its stockholders and most analysts, and it appears that the entire offer is completely illegitimate.Read full story
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The California-based company that owns the struggling ShoppingTown Mall in DeWitt has a nearly $39 million final mortgage payment coming due in May.Read full story
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Just 30 years ago, the Nasdaq Stock Market was launched from a building in Trumbull by a local company, now it has thrown its hat into the ring for the venerable New York Stock Exchange, offering $11.3 billion in an attempt to thwart NYSE Euronext \’s agreement with Germany\’s Deutsche Boerse.Read full story
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