GoPublicUSA.info http://gopublicusa.info a blog for the Investment Banking Community Fri, 03 Sep 2010 23:38:29 +0000 http://wordpress.org/?v=2.2.2 en FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2677 http://gopublicusa.info/?p=2677#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2677 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2677 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2676 http://gopublicusa.info/?p=2676#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2676 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2676 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2675 http://gopublicusa.info/?p=2675#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2675 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2675 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2674 http://gopublicusa.info/?p=2674#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2674 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2674 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2673 http://gopublicusa.info/?p=2673#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2673 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2673 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2672 http://gopublicusa.info/?p=2672#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2672 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2672 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2671 http://gopublicusa.info/?p=2671#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2671 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2671 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2670 http://gopublicusa.info/?p=2670#comments Fri, 03 Sep 2010 23:38:29 +0000 http://gopublicusa.info//?p=2670 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2670 Moodya s Escapes SEC Lawsuit, Now Moves to Shield Itself From Liability http://gopublicusa.info/?p=2669 http://gopublicusa.info/?p=2669#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2669 Topix SEC News
Current 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2669 SEC Said to Probe Role of Canceled Orders in Crash http://gopublicusa.info/?p=2668 http://gopublicusa.info/?p=2668#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2668 Topix SEC News
The 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2668 GM Ipo tour timetable emerges http://gopublicusa.info/?p=2667 http://gopublicusa.info/?p=2667#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2667 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2667 SEC charges Pinnacle Capital with anti-money laundering rule violation http://gopublicusa.info/?p=2666 http://gopublicusa.info/?p=2666#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2666 Topix SEC News
The 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2666 KDB issues $900 million of SEC-registered notes http://gopublicusa.info/?p=2665 http://gopublicusa.info/?p=2665#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2665 Topix SEC News
Despite 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2665 September 2, 2010, issue http://gopublicusa.info/?p=2664 http://gopublicusa.info/?p=2664#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2664

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]]> http://gopublicusa.info/?feed=rss2&p=2664 September 3, 2010, issue http://gopublicusa.info/?p=2663 http://gopublicusa.info/?p=2663#comments Fri, 03 Sep 2010 23:38:28 +0000 http://gopublicusa.info//?p=2663

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]]> http://gopublicusa.info/?feed=rss2&p=2663 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2662 http://gopublicusa.info/?p=2662#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2662 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2662 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2661 http://gopublicusa.info/?p=2661#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2661 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2661 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2660 http://gopublicusa.info/?p=2660#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2660 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2660 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2659 http://gopublicusa.info/?p=2659#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2659 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2659 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2658 http://gopublicusa.info/?p=2658#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2658 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2658 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2657 http://gopublicusa.info/?p=2657#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2657 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2657 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2656 http://gopublicusa.info/?p=2656#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2656 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2656 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2655 http://gopublicusa.info/?p=2655#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2655 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2655 FINRA 2010-08-30: Requirements for Customer Assets http://gopublicusa.info/?p=2654 http://gopublicusa.info/?p=2654#comments Thu, 02 Sep 2010 03:48:37 +0000 http://gopublicusa.info//?p=2654 This podcast focuses on requirements for verifying customer instructions to transmit or withdraw their assets.

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]]> http://gopublicusa.info/?feed=rss2&p=2654 SEC Charges Koss Accountants with Fraud http://gopublicusa.info/?p=2653 http://gopublicusa.info/?p=2653#comments Thu, 02 Sep 2010 03:48:36 +0000 http://gopublicusa.info//?p=2653 The Securities and Exchange Commission has charged two former senior accounting professionals at headphone maker Koss Corp.

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]]> http://gopublicusa.info/?feed=rss2&p=2653 Proposed SEC Rules Could Cost Fund Firms Millions http://gopublicusa.info/?p=2652 http://gopublicusa.info/?p=2652#comments Thu, 02 Sep 2010 03:48:36 +0000 http://gopublicusa.info//?p=2652 Topix SEC News
Proposed new U.S. regulations could cost mutual fund companies hundreds of millions of dollars in distribution fees they split with partners.

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]]> http://gopublicusa.info/?feed=rss2&p=2652 Some BofA shareholders can apply to tap $150M fund http://gopublicusa.info/?p=2651 http://gopublicusa.info/?p=2651#comments Thu, 02 Sep 2010 03:48:36 +0000 http://gopublicusa.info//?p=2651 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2651 Hedge Funds: SEC sues former manager of Imperium hedge fund http://gopublicusa.info/?p=2650 http://gopublicusa.info/?p=2650#comments Thu, 02 Sep 2010 03:48:36 +0000 http://gopublicusa.info//?p=2650 Topix SEC News
The 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2650 Yahoo to lose search advertising partner NHN in November, leaving small dent in finances http://gopublicusa.info/?p=2649 http://gopublicusa.info/?p=2649#comments Thu, 02 Sep 2010 03:48:36 +0000 http://gopublicusa.info//?p=2649 Topix SEC News
Yahoo 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2649 August 25, 2010, issue http://gopublicusa.info/?p=2648 http://gopublicusa.info/?p=2648#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2648 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2648 August 26, 2010, issue http://gopublicusa.info/?p=2647 http://gopublicusa.info/?p=2647#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2647 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2647 August 27, 2010, issue http://gopublicusa.info/?p=2646 http://gopublicusa.info/?p=2646#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2646 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2646 August 30, 2010, issue http://gopublicusa.info/?p=2645 http://gopublicusa.info/?p=2645#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2645

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]]> http://gopublicusa.info/?feed=rss2&p=2645 August 31, 2010, issue http://gopublicusa.info/?p=2644 http://gopublicusa.info/?p=2644#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2644 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2644 September 1, 2010, issue http://gopublicusa.info/?p=2643 http://gopublicusa.info/?p=2643#comments Thu, 02 Sep 2010 03:48:35 +0000 http://gopublicusa.info//?p=2643

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]]> http://gopublicusa.info/?feed=rss2&p=2643 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2642 http://gopublicusa.info/?p=2642#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2642 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2642 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2641 http://gopublicusa.info/?p=2641#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2641 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2641 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2640 http://gopublicusa.info/?p=2640#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2640 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2640 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2639 http://gopublicusa.info/?p=2639#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2639 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2639 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2638 http://gopublicusa.info/?p=2638#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2638 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2638 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2637 http://gopublicusa.info/?p=2637#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2637 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2637 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2636 http://gopublicusa.info/?p=2636#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2636 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2636 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2635 http://gopublicusa.info/?p=2635#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2635 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2635 SEC: Ex-Countrywide chief approved special loans http://gopublicusa.info/?p=2634 http://gopublicusa.info/?p=2634#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2634 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 borrowers that …

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]]> http://gopublicusa.info/?feed=rss2&p=2634 Securities and Exchange Commission charges 2 investors with insider trading on BHP-Potash deal http://gopublicusa.info/?p=2633 http://gopublicusa.info/?p=2633#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2633 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2633 SEC says ex-Countrywide chief Mozilo approved special… http://gopublicusa.info/?p=2632 http://gopublicusa.info/?p=2632#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2632 Federal regulators say former Countrywide CEO Angelo Mozilo personally approved mortgages for favored borrowers that violated the company\’s policies and lending standards.

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]]> http://gopublicusa.info/?feed=rss2&p=2632 SEC making access to ballot easier http://gopublicusa.info/?p=2631 http://gopublicusa.info/?p=2631#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2631 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2631 Sec Stalker: Aol Is Hiding Information From You About Its Google Deal Until December 19 http://gopublicusa.info/?p=2630 http://gopublicusa.info/?p=2630#comments Wed, 25 Aug 2010 13:56:17 +0000 http://gopublicusa.info//?p=2630 Topix SEC News
AOL just got the official SEC thumbs up to withhold information about its search deal with Google.

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]]> http://gopublicusa.info/?feed=rss2&p=2630 August 23, 2010, issue http://gopublicusa.info/?p=2629 http://gopublicusa.info/?p=2629#comments Wed, 25 Aug 2010 13:56:16 +0000 http://gopublicusa.info//?p=2629

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]]> http://gopublicusa.info/?feed=rss2&p=2629 August 24, 2010, issue http://gopublicusa.info/?p=2628 http://gopublicusa.info/?p=2628#comments Wed, 25 Aug 2010 13:56:16 +0000 http://gopublicusa.info//?p=2628

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]]> http://gopublicusa.info/?feed=rss2&p=2628 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2627 http://gopublicusa.info/?p=2627#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2627 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2627 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2626 http://gopublicusa.info/?p=2626#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2626 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2626 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2625 http://gopublicusa.info/?p=2625#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2625 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2625 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2624 http://gopublicusa.info/?p=2624#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2624 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2624 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2623 http://gopublicusa.info/?p=2623#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2623 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2623 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2622 http://gopublicusa.info/?p=2622#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2622 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2622 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2621 http://gopublicusa.info/?p=2621#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2621 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2621 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2620 http://gopublicusa.info/?p=2620#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2620 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2620 FINRA 2010-08-23: BrokerCheck http://gopublicusa.info/?p=2619 http://gopublicusa.info/?p=2619#comments Mon, 23 Aug 2010 17:14:26 +0000 http://gopublicusa.info//?p=2619 Amendments to FINRA rules related to BrokerCheck, an online investor tool for researching the professional backgrounds of firms and brokers.

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]]> http://gopublicusa.info/?feed=rss2&p=2619 Proposed rule won\’t make commodities funds any safer | Your Funds http://gopublicusa.info/?p=2618 http://gopublicusa.info/?p=2618#comments Mon, 23 Aug 2010 17:14:25 +0000 http://gopublicusa.info//?p=2618 Topix SEC News
Jon 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2618 Dallas\’ Wyly brothers break silence, deny charges in SEC fraud allegations http://gopublicusa.info/?p=2617 http://gopublicusa.info/?p=2617#comments Mon, 23 Aug 2010 17:14:25 +0000 http://gopublicusa.info//?p=2617 Topix SEC News
The billionaire Wyly brothers of Dallas have broken their silence about the massive securities fraud suit against them, and they\’re taking a defiant tone.

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]]> http://gopublicusa.info/?feed=rss2&p=2617 Executive Pay List Reflects Revised Rules http://gopublicusa.info/?p=2616 http://gopublicusa.info/?p=2616#comments Mon, 23 Aug 2010 17:14:25 +0000 http://gopublicusa.info//?p=2616 Michael T. Duke, CEO of Wal-Mart Stores Inc., was the highest-paid public company executive in Arkansas in the most recent fiscal year.

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]]> http://gopublicusa.info/?feed=rss2&p=2616 BlueLinx largest shareholder to attempt takeover http://gopublicusa.info/?p=2615 http://gopublicusa.info/?p=2615#comments Mon, 23 Aug 2010 17:14:25 +0000 http://gopublicusa.info//?p=2615 Topix SEC News
Cerberus 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2615 Metiscan, Inc. Announces Filing Registration Statement on Form S-1 With SEC http://gopublicusa.info/?p=2614 http://gopublicusa.info/?p=2614#comments Mon, 23 Aug 2010 17:14:25 +0000 http://gopublicusa.info//?p=2614 Topix SEC News
Bryan 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2614 August 17, 2010, issue http://gopublicusa.info/?p=2613 http://gopublicusa.info/?p=2613#comments Mon, 23 Aug 2010 17:14:24 +0000 http://gopublicusa.info//?p=2613 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2613 August 18, 2010, issue http://gopublicusa.info/?p=2612 http://gopublicusa.info/?p=2612#comments Mon, 23 Aug 2010 17:14:24 +0000 http://gopublicusa.info//?p=2612

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]]> http://gopublicusa.info/?feed=rss2&p=2612 August 19, 2010, issue http://gopublicusa.info/?p=2611 http://gopublicusa.info/?p=2611#comments Mon, 23 Aug 2010 17:14:24 +0000 http://gopublicusa.info//?p=2611 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2611 August 20, 2010, issue http://gopublicusa.info/?p=2610 http://gopublicusa.info/?p=2610#comments Mon, 23 Aug 2010 17:14:24 +0000 http://gopublicusa.info//?p=2610

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]]> http://gopublicusa.info/?feed=rss2&p=2610 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2609 http://gopublicusa.info/?p=2609#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2609 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2609 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2608 http://gopublicusa.info/?p=2608#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2608 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2608 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2607 http://gopublicusa.info/?p=2607#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2607 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2607 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2606 http://gopublicusa.info/?p=2606#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2606 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2606 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2605 http://gopublicusa.info/?p=2605#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2605 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2605 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2604 http://gopublicusa.info/?p=2604#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2604 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2604 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2603 http://gopublicusa.info/?p=2603#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2603 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2603 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2602 http://gopublicusa.info/?p=2602#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2602 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2602 FINRA 2010-08-16: 2010 Regulatory and Business Considerations - Part II http://gopublicusa.info/?p=2601 http://gopublicusa.info/?p=2601#comments Mon, 16 Aug 2010 21:32:41 +0000 http://gopublicusa.info//?p=2601 FINRA guidance on consolidated account reports,including applicable rules and other considerations.

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]]> http://gopublicusa.info/?feed=rss2&p=2601 J&J discloses more subpoenas over recalls http://gopublicusa.info/?p=2600 http://gopublicusa.info/?p=2600#comments Mon, 16 Aug 2010 21:32:40 +0000 http://gopublicusa.info//?p=2600 Topix SEC News
Johnson & 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2600 UK drug firms put under microscope over \’bribery\’ - The Independent http://gopublicusa.info/?p=2599 http://gopublicusa.info/?p=2599#comments Mon, 16 Aug 2010 21:32:40 +0000 http://gopublicusa.info//?p=2599 Topix SEC News
The 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2599 Build-A-Bear Workshop targeted by activist shareholder http://gopublicusa.info/?p=2598 http://gopublicusa.info/?p=2598#comments Mon, 16 Aug 2010 21:32:40 +0000 http://gopublicusa.info//?p=2598 New York hedge fund manager Eric Rosenfeld has been classed among the nation\’s \”wolf pack\” of activist shareholders.

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]]> http://gopublicusa.info/?feed=rss2&p=2598 Plaintiff Lawyers Join The Bribery Racket http://gopublicusa.info/?p=2597 http://gopublicusa.info/?p=2597#comments Mon, 16 Aug 2010 21:32:40 +0000 http://gopublicusa.info//?p=2597 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2597 Ten Ways Tesla Could Lose Its Juice [Inside 8 Mile] http://gopublicusa.info/?p=2596 http://gopublicusa.info/?p=2596#comments Mon, 16 Aug 2010 21:32:40 +0000 http://gopublicusa.info//?p=2596 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 about Tesla \’s viability into a badge of honor, …

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]]> http://gopublicusa.info/?feed=rss2&p=2596 August 16, 2010, issue http://gopublicusa.info/?p=2595 http://gopublicusa.info/?p=2595#comments Mon, 16 Aug 2010 21:32:39 +0000 http://gopublicusa.info//?p=2595

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]]> http://gopublicusa.info/?feed=rss2&p=2595 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2594 http://gopublicusa.info/?p=2594#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2594 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2594 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2593 http://gopublicusa.info/?p=2593#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2593 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2593 FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II http://gopublicusa.info/?p=2592 http://gopublicusa.info/?p=2592#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2592 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2592 FINRA 2010-04-26: FINRA\’s 2010 Educational Offerings http://gopublicusa.info/?p=2591 http://gopublicusa.info/?p=2591#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2591 FINRA staff discuss compliance education and training options that FINRA makes available to the industry.

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]]> http://gopublicusa.info/?feed=rss2&p=2591 FINRA 2010-05-27: Rick Ketchum\’s 2010 FINRA Annual Conference Welcome Address http://gopublicusa.info/?p=2590 http://gopublicusa.info/?p=2590#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2590 FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.

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]]> http://gopublicusa.info/?feed=rss2&p=2590 FINRA 2010-06-14: FINRA\’s 2010 Examination Priorities (Part 1) http://gopublicusa.info/?p=2589 http://gopublicusa.info/?p=2589#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2589 The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2589 FINRA 2010-06-28: FINRA\’s 2010 Examination Priorities (Part 2) http://gopublicusa.info/?p=2588 http://gopublicusa.info/?p=2588#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2588 The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.

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]]> http://gopublicusa.info/?feed=rss2&p=2588 FINRA 2010-07-19: FINRA\’s Business Continuity Planning Template http://gopublicusa.info/?p=2587 http://gopublicusa.info/?p=2587#comments Sat, 14 Aug 2010 03:10:49 +0000 http://gopublicusa.info//?p=2587 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2587 Peppel, former MCSi chief, pleads guilty http://gopublicusa.info/?p=2586 http://gopublicusa.info/?p=2586#comments Sat, 14 Aug 2010 03:10:48 +0000 http://gopublicusa.info//?p=2586 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2586 FundWatch: SEC plans fall short of full fee disclosure http://gopublicusa.info/?p=2585 http://gopublicusa.info/?p=2585#comments Sat, 14 Aug 2010 03:10:48 +0000 http://gopublicusa.info//?p=2585 Topix SEC News
Fund industry observers are lobbing new criticism at regulators\’ recent efforts to limit mutual-fund sales fees, already under fire for being too weak.

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]]> http://gopublicusa.info/?feed=rss2&p=2585 American Apparel will miss filing deadline http://gopublicusa.info/?p=2584 http://gopublicusa.info/?p=2584#comments Sat, 14 Aug 2010 03:10:48 +0000 http://gopublicusa.info//?p=2584 Topix SEC News
New York City American Apparel has informed the Securities and Exchange Commission that it will miss its filing deadline.

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]]> http://gopublicusa.info/?feed=rss2&p=2584 CVB Cfo postpones retirement to help on Sec probe http://gopublicusa.info/?p=2583 http://gopublicusa.info/?p=2583#comments Sat, 14 Aug 2010 03:10:48 +0000 http://gopublicusa.info//?p=2583 Topix SEC News
CVB Financial Corp. Chief Financial Officer Edward Biebrich postponed his retirement to help the California bank deal with a Securities and Exchange Commission investigation.

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]]> http://gopublicusa.info/?feed=rss2&p=2583 Could the SEC Benefit from Crowdsourcing? http://gopublicusa.info/?p=2582 http://gopublicusa.info/?p=2582#comments Sat, 14 Aug 2010 03:10:48 +0000 http://gopublicusa.info//?p=2582 Topix SEC News
The 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2582 August 12, 2010, issue http://gopublicusa.info/?p=2581 http://gopublicusa.info/?p=2581#comments Sat, 14 Aug 2010 03:10:47 +0000 http://gopublicusa.info//?p=2581 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2581 August 13, 2010, issue http://gopublicusa.info/?p=2580 http://gopublicusa.info/?p=2580#comments Sat, 14 Aug 2010 03:10:47 +0000 http://gopublicusa.info//?p=2580 SEC News Digest


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]]> http://gopublicusa.info/?feed=rss2&p=2580 FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I http://gopublicusa.info/?p=2579 http://gopublicusa.info/?p=2579#comments Thu, 12 Aug 2010 18:54:33 +0000 http://gopublicusa.info//?p=2579 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2579 FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address http://gopublicusa.info/?p=2578 http://gopublicusa.info/?p=2578#comments Thu, 12 Aug 2010 18:54:33 +0000 http://gopublicusa.info//?p=2578 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.

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]]> http://gopublicusa.info/?feed=rss2&p=2578