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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SAO PAULO , May 28 /PRNewswire-FirstCall/ — Companhia Siderurgica Nacional CSN, , company that combines steel, mining, cement, logistics and energy businesses, informs the filing of its Form 20-F for the fiscal year ended December 31, 2009 with the U.S. Securities and Exchange Commission .Read full story
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Topix SEC NewsMidway Gold Corp. announced today that it has filed a preliminary prospectus supplement to its short form base shelf prospectus filed with the securities commissions in each of the provinces of British Columbia, Alberta and Ontario, and a corresponding shelf prospectus as part of an effective registration statement on Form S-3 filed with […]
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By Mark Schoeff Jr. May 30, 2010 6:01 am ET A small provision buried in both the House and Senate versions of financial-reform legislation is being hailed by some as a modest but important step for the financial planning industry.Read full story
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Topix SEC NewsWalmart associate Tonya Sandefur hands a customer his change May 4 while running a checkout station at the Walmart Neighborhood Market in Bentonville.Read full story
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Topix SEC NewsDHAKA: Finance Minister Abul Mal Abdul Muhith has said the government will reform the Banking Act by next year to ensure corporate governance in the sector.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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The second podcast in a three-part series on FINRA\’s updated AML template that guides firms through the process of setting up AML compliance and supervisory procedures.Read full story
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Logical Therapeutics Inc. has raised at least $10 million of a planned $16.9 million equity financing, according to a filing with the U.S. Securities and Exchange Commission .Read full story
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The regulator will release a plan to capture all order information in equities, called a consolidated audit trail, on May 26.Read full story
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Don\’t expect Wall Street to give up their tasseled loafers and French cuff dress shirts for orange jumpsuits anytime soon.Read full story
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Topix SEC NewsIt\’s all about expediency. That, in essence, is what Securities and Exchange Commission Chairman Mary Sharpiro acknowledged at a recent conference in which she discussed the agency\’s habit of allowing settlements in which defendants \”neither admits nor denies wrongdoing.\” By adding that vague and logic-defying phrase, more companies agree to …Read full story
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Topix SEC NewsMcDonnell\’s Malek appointment draws fire for Nixon connection and $100,000 SEC fine… Gov.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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Neogenix Oncology announced today that it has filed a registration statement on Form 10 with the Securities and Exchange Commission to register its common stock pursuant to Section 12 of the Securities Exchange Act of 1934.Read full story
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Don\’t miss these top stories: New laws affecting consumers are coming fast and furious.Read full story
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The historic office tower at 351 California St. will hit in the auction block - but investors who want a shot at the building must shell out at least $35 million.Read full story
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The Justice Department has decided not to file criminal charges against the former head of a division at American International Group Inc.Read full story
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The focus of the financial overhaul bills passed by the House and Senate has been largely on regulating Wall Street and the banks.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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Boston Options Exchange is reducing the number of market makers necessary to open trading in a series of options to one from two.Read full story
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Regulators still have not been able to pinpoint the cause of the market\’s recent plunge, but charged ahead with new rules to restrict trading when markets are in free-fall. Nearly two weeks after the Dow Jones industrial average dropped some 700 points within minutes, regulators are grappling with half a dozen working hypotheses and have […]
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Throughout Glenn Beck\’s meteoric rise to become king of all right-wing media, a once-obscure Santa Monica peddler of gold coins called Goldline International has been along for the ride .Read full story
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Topix SEC NewsLawyers for Goldman Sachs Group Inc. will face Lorin Reisner , the deputy director of enforcement for the Securities and Exchange Commission, in the agencya s lawsuit over the banka s use of subprime mortgage-backed securities.Read full story
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Topix SEC NewsU.S. stock exchanges would briefly halt trading of some stocks that have big price swings under new trading rules aimed at avoiding market plunges and proposed Tuesday by federal regulators.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 staff provides guidance on principal-protected notes, including how they work and how FINRA rules covering communications with the public, suitability and training obligations apply.Read full story
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Topix SEC NewsFormer McKinsey & Co. director Anil Kumar agreed to pay almost $2.8 million to settle civil allegations of insider trading brought by the U.S. Securities and Exchange Commission.Read full story
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Topix SEC NewsSo, just what is Goldman Sachs Group Inc.\’s connection to the Iceland volcano that spewed ash into the atmosphere and fouled Europe\’s airways, triggering billions in lost revenue for airlines? The stories circulating that the Wall Street investment bank somehow managed to plant a small nuclear device in the volcano and detonate it […]
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Topix SEC NewsU.S. regulators and exchanges are considering market-wide circuit breakers that would temporarily stop trading when it falls five percent, two sources familiar with the talks said on Monday.Read full story
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Topix SEC NewsAn informant for U.S. regulators probing fraud claims against Goldman Sachs has urged Australia\’s markets watchdog to also investigate the U.S. bank, a newspaper said on Tuesday.Read full story
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A panel advising U.S. market regulators will meet on May 24 to discuss the mysterious market plunge, the Securities and Exchange Commission said on Monday.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
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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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The first podcast in a three-part series on FINRA\’s updated AML template that guides the process of setting up AML compliance and supervisory procedures.Read full story
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The Washington Post reports: A Denver lawyer is suing the Securities and Exchange Commission for the names of agency workers disciplined in the past five years for viewing pornography on government computers.Read full story
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Topix SEC NewsIf you can\’t fight the federal government, you may as well pay \’em. Especially if you\’re Goldman Sachs.Read full story
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Top regulators and officials of the options and securities exchanges told Congress on Tuesday that further safeguards may be needed to prevent another mysterious bungee jump by the markets like that experienced last Thursday.Read full story
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Liberty Mutual Agency Corp. , parent company of Fairfield-based Ohio Casualty, has filed an initial public offering with the U.S. Securities and Exchange Commission.Read full story
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The powers that be are scrambling to establish safeguards so last week\’s \”flash crash\” in the stock market won\’t happen again.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
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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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Topix SEC NewsGoldman Sachs Group Inc Chief Executive Lloyd Blankfein took responsibility for the bank\’s conduct during the financial crisis on a call with wealthy clients on Wednesday.Read full story
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NexTier Bank of Butler, whose problem loans have ballooned over the last three years, on Wednesday agreed to be acquired by Northwest Bancshares Inc.Read full story
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Mary Schapiro, chairman of the Securities and Exchange Commission, testifies before the House Financial Services Committee.Read full story
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Topix SEC NewsComplete coverage: Read all the stories and documents related to the SemGroup collapse.Read full story
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Topix SEC NewsA measure that would ensure broker-dealers are held to a fiduciary standard should be included in sweeping bank reform legislation under consideration on Capitol Hill, Securities and Exchange Commission Chairwoman Mary Schapiro said Thursday.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
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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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Revisit the latest FINRA Notices, compliance resources and news from April 2010.Read full story
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Topix SEC NewsLately I\’ve been having a recurrent hallucination. It happens whenever I get swept up in the orgy of Goldman Sachs Mania.Read full story
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The inspector general of the Securities and Exchange Commission has issued yet another scathing report about the agency, this time for responding improperly and too slowly to allegations of fraud at a communications company that filed for bankruptcy last year.Read full story
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Topix SEC NewsForget women scorned. To truly experience hell\’s furies, watch a politician in search of a scapegoat when the cameras are rolling.Read full story
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The head of the U.S. Department of Justice\’s Criminal Division said the U.S. Securities and Exchange Commission will no longer delay civil enforcement actions so prosecutors can pursue related criminal cases.Read full story
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Topix SEC NewsGoldman Sachs has disclosed information about a half-dozen lawsuits filed against it by shareholders accusing the big Wall Street firm and top executives of misconduct and abuse in the wake of civil fraud charges brought by the government over mortgage securities deals.Read full story
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