http://gopublicusa.info a blog for the Investment Banking Community Fri, 03 Sep 2010 23:38:29 +0000 http://backend.userland.com/rss092 en 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 http://gopublicusa.info/?p=2677 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 http://gopublicusa.info/?p=2676 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 http://gopublicusa.info/?p=2675 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2674 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2673 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 http://gopublicusa.info/?p=2672 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 http://gopublicusa.info/?p=2671 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 http://gopublicusa.info/?p=2670 Topix SEC NewsCurrent and former executives of credit rating agencies are sworn in during a hearing before the House Oversight and Government Reform Committee on Capitol Hill on Oct.Read full story http://gopublicusa.info/?p=2669 Topix SEC NewsThe U.S. Securities and Exchange Commission is examining whether high-speed traders helped destabilize equity markets during the May 6 crash by repeatedly placing and canceling orders in an attempt to manipulate share prices, a person with direct knowledge of the inquiry said.Read full story http://gopublicusa.info/?p=2668 General Motors Co. won\'t send its executives on a worldwide tour, aimed at convincing potential investors to buy its stock, until after the Nov.Read full story http://gopublicusa.info/?p=2667 Topix SEC NewsThe company faces $25,000 in financial penalties. The US Securities and Exchange Commission has charged Pinnacle Capital Markets with failing to comply with an anti-money laundering rule.Read full story http://gopublicusa.info/?p=2666 Topix SEC NewsDespite the summer lull, Korea Development Bank prints well inside its existing curve, prompting a tightening of Korean policy bank sector bonds by 5bp to 10bp.Read full story http://gopublicusa.info/?p=2665 Read full story http://gopublicusa.info/?p=2664 Read full story http://gopublicusa.info/?p=2663 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 http://gopublicusa.info/?p=2662 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 http://gopublicusa.info/?p=2661 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 http://gopublicusa.info/?p=2660 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2659 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2658 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 http://gopublicusa.info/?p=2657 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 http://gopublicusa.info/?p=2656 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 http://gopublicusa.info/?p=2655 This podcast focuses on requirements for verifying customer instructions to transmit or withdraw their assets.Read full story http://gopublicusa.info/?p=2654 The Securities and Exchange Commission has charged two former senior accounting professionals at headphone maker Koss Corp.Read full story http://gopublicusa.info/?p=2653 Topix SEC NewsProposed new U.S. regulations could cost mutual fund companies hundreds of millions of dollars in distribution fees they split with partners.Read full story http://gopublicusa.info/?p=2652 Investors who lost money when Bank of America Corp. bought Merrill Lynch without disclosing Merrill\'s problems can start applying to tap a $150 million compensation fund.Read full story http://gopublicusa.info/?p=2651 Topix SEC NewsThe Securities and Exchange Commission on Wednesday sued Stephen Goldfield, the former manager of hedge fund firm Imperium Advisors, alleging he made almost $14 million illegally trading on inside information.Read full story http://gopublicusa.info/?p=2650 Topix SEC NewsYahoo Inc. is about to lose one of its search advertising partners in South Korea as the Internet company prepares to convert to Microsoft Corp.\'s technology.Read full story http://gopublicusa.info/?p=2649 SEC News DigestRead full story http://gopublicusa.info/?p=2648 SEC News DigestRead full story http://gopublicusa.info/?p=2647 SEC News DigestRead full story http://gopublicusa.info/?p=2646 Read full story http://gopublicusa.info/?p=2645 SEC News DigestRead full story http://gopublicusa.info/?p=2644 Read full story http://gopublicusa.info/?p=2643 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 http://gopublicusa.info/?p=2642 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 http://gopublicusa.info/?p=2641 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 http://gopublicusa.info/?p=2640 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2639 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2638 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 http://gopublicusa.info/?p=2637 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 http://gopublicusa.info/?p=2636 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 http://gopublicusa.info/?p=2635 Angelo Mozilo, founder and former CEO, Countrywide Financial Corporation, stands at the witness table before the start of a House Oversight and Government Reform hearing on Capitol Hill March 7, 2008 in Washington, D.C. WASHINGTON a \' The government says former Countrywide CEO Angelo Mozilo personally approved mortgages for favored ... http://gopublicusa.info/?p=2634 Federal regulators say two Spanish investors made illegal profits of $1.1 million by trading on secret information about BHP Billiton PLC\'s bid to acquire Potash Corp.Read full story http://gopublicusa.info/?p=2633 Federal regulators say former Countrywide CEO Angelo Mozilo personally approved mortgages for favored borrowers that violated the company\'s policies and lending standards.Read full story http://gopublicusa.info/?p=2632 Federal regulators are moving to make it easier for shareholders to nominate directors of public companies, a major change long sought by investor advocates and buttressed by the new financial overhaul law.Read full story http://gopublicusa.info/?p=2631 Topix SEC NewsAOL just got the official SEC thumbs up to withhold information about its search deal with Google.Read full story http://gopublicusa.info/?p=2630 Read full story http://gopublicusa.info/?p=2629 Read full story http://gopublicusa.info/?p=2628 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 http://gopublicusa.info/?p=2627 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 http://gopublicusa.info/?p=2626 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 http://gopublicusa.info/?p=2625 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2624 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2623 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 http://gopublicusa.info/?p=2622 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 http://gopublicusa.info/?p=2621 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 http://gopublicusa.info/?p=2620 Amendments to FINRA rules related to BrokerCheck, an online investor tool for researching the professional backgrounds of firms and brokers.Read full story http://gopublicusa.info/?p=2619 Topix SEC NewsJon in Tacoma has been thinking that commodity funds might diversify his portfolio in these tough economic times, putting him into hard assets or real assets that are not a part of the standard mutual fund.Read full story http://gopublicusa.info/?p=2618 Topix SEC NewsThe billionaire Wyly brothers of Dallas have broken their silence about the massive securities fraud suit against them, and they\'re taking a defiant tone.Read full story http://gopublicusa.info/?p=2617 Michael T. Duke, CEO of Wal-Mart Stores Inc., was the highest-paid public company executive in Arkansas in the most recent fiscal year.Read full story http://gopublicusa.info/?p=2616 Topix SEC NewsCerberus ABP Investors, an affiliate of Cerberus Capital Management, has announced in a July 22 filing with the Securities and Exchange Commission that it intends to make a tender offer for all of the outstanding publicly held shares of BlueLinx Holdings Inc.Read full story http://gopublicusa.info/?p=2615 Topix SEC NewsBryan A. Scott, President and CEO of Metiscan, Inc., commented, \"Our SEC Counsel has advised us that our Registration Statement on Form S-1 was filed with the SEC and that the review and comment period has begun.Read full story http://gopublicusa.info/?p=2614 SEC News DigestRead full story http://gopublicusa.info/?p=2613 Read full story http://gopublicusa.info/?p=2612 SEC News DigestRead full story http://gopublicusa.info/?p=2611 Read full story http://gopublicusa.info/?p=2610 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 http://gopublicusa.info/?p=2609 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 http://gopublicusa.info/?p=2608 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 http://gopublicusa.info/?p=2607 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2606 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2605 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 http://gopublicusa.info/?p=2604 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 http://gopublicusa.info/?p=2603 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 http://gopublicusa.info/?p=2602 FINRA guidance on consolidated account reports,including applicable rules and other considerations.Read full story http://gopublicusa.info/?p=2601 Topix SEC NewsJohnson & Johnson disclosed Wednesday that the health products giant has now received multiple subpoenas from federal prosecutors related to repeated recalls of Tylenol and other consumer health products.Read full story http://gopublicusa.info/?p=2600 Topix SEC NewsThe world\'s largest pharmaceutical companies are facing a corruption investigation in the United States over claims that the hospitality lavished on those who prescribe their treatments could constitute bribery.Read full story http://gopublicusa.info/?p=2599 New York hedge fund manager Eric Rosenfeld has been classed among the nation\'s \"wolf pack\" of activist shareholders.Read full story http://gopublicusa.info/?p=2598 The Justice Department\'s unprecedented campaign to enforce a once-backwater statute called the Foreign Corrupt Practices Act, or FCPA, has made corporate lawyers and accountants rich as big companies pay big law and accounting firms to investigate and defend potential violations.Read full story http://gopublicusa.info/?p=2597 Tesla Motors \"founder\" Elon Musk has a propensity for boasting about his electric car business, but the company\'s latest SEC filing shares the risks he doesn\'t like to talk about, including having the Roadster\'s advertised range cut 30%. Musk, now the CEO of a publicly traded company, has turned doubt ... http://gopublicusa.info/?p=2596 Read full story http://gopublicusa.info/?p=2595 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 http://gopublicusa.info/?p=2594 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 http://gopublicusa.info/?p=2593 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 http://gopublicusa.info/?p=2592 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story http://gopublicusa.info/?p=2591 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story http://gopublicusa.info/?p=2590 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 http://gopublicusa.info/?p=2589 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 http://gopublicusa.info/?p=2588 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 http://gopublicusa.info/?p=2587 MCSi\'s former chief executive officer pleaded guilty in United States District Court in Cincinnati to conspiracy, securities fraud and money laundering for improperly reporting company revenues as part of a scheme to inflate the companya s stock price, according to a report in the Dayton Business Journal.Read full story http://gopublicusa.info/?p=2586 Topix SEC NewsFund industry observers are lobbing new criticism at regulators\' recent efforts to limit mutual-fund sales fees, already under fire for being too weak.Read full story http://gopublicusa.info/?p=2585 Topix SEC NewsNew York City American Apparel has informed the Securities and Exchange Commission that it will miss its filing deadline.Read full story http://gopublicusa.info/?p=2584 Topix SEC NewsCVB Financial Corp. Chief Financial Officer Edward Biebrich postponed his retirement to help the California bank deal with a Securities and Exchange Commission investigation.Read full story http://gopublicusa.info/?p=2583 Topix SEC NewsThe Securities and Exchange Commission has had a rough decade. The scandals that ensnared companies including Enron, MCI, and Adelphia-which led to the demise of the accounting Arthur Andersen - resulted in the Sarbanes-Oxley Act of 2002.Read full story http://gopublicusa.info/?p=2582 SEC News DigestRead full story http://gopublicusa.info/?p=2581 SEC News DigestRead full story http://gopublicusa.info/?p=2580 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 http://gopublicusa.info/?p=2579 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 http://gopublicusa.info/?p=2578