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This podcast, an audio version of a FINRA webcast, focuses on how to identify and handle many conflicts of interest that can occur in the securities industry. It covers FINRA Rules around this issue, common sources for conflicts, and how to minimize risks. Host: Paul Voketaitis; Producer: Kenneth Edward Piner.Read full story

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Topix SEC NewsThe U.S. Securities and Exchange Commission is planning to take enforcement action against Royal Bank of Canada for the lender’s role in the collapse of the $330 billion auction-rate securities market, the …Read full story

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Topix SEC NewsLAS VEGAS — Bally Technologies Inc. said it has settled with the Securities and Exchange Commission over an investigation of the company’s revenue accounting.Read full story

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The U.S. Securities and Exchange Commission settled two actions against slot machine maker Bally Technologies on Wednesday, but it filed an administrative action against two of the company’s former financial …Read full story

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The head of the US financial regulator SEC has blamed a voluntary monitoring program for major investment banks as a cause of the global financial crisis and said he was shutting the program down.Read full story

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Right about now, a whole bunch of people should be sweating buckets. Washington, D.C., Sept.Read full story

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Topix SEC NewsA federal judge in Florida ruled Wednesday that the head of two hedge funds deceived investors about the funds’ holdings.Read full story

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Through weeks of the U.S. market crisis and in high-stakes negotiations, the Treasury secretary and Fed chairman have had prominent profiles and drawn pointed criticism.Read full story

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A former executive of Biopure Corp. has been charged with falsely telling a federal judge he had terminal cancer to dodge a Securities and Exchange Commission complaint.Read full story

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Beazer Homes USA Inc. has settled a Securities and Exchange Commission investigation into its accounting procedures the agency says misled investors.Read full story

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The US regulator Securities and Exchange Commission has ordered more than two dozen hedge funds to hand over trading information, in a bid to crack down on rumour mongering and abusive short selling, a media …Read full story

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Senate Democrats on Monday issued a counterproposal to the Treasury Department’s financial bailout plan that would give the government shares in firms unloading assets and limit executive compensation.Read full story

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The move will place both companies, which are now regulated by the Securities and Exchange Commission , under the tighter regulations of the FDIC and the Bank Holding Company Act [text], effectively lowering …Read full story

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Topix SEC NewsWall Street soared Friday, led by financials, after the U.S. government said it would take troubled assets off finance companies’ balance sheets and investors digested new actions from the Federal Reserve and …Read full story

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Topix SEC NewsThe initial SEC order issued last Thursday barred short-selling of 799 financial issues, and the OSC followed with an order covering 13 securities - including the five big Canadian banks and four insurers - …Read full story

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Topix SEC NewsPresident Bush , accompanied by Federal Reserve Chairman Ben Bernanke, Treasury Secretary Henry Paulson, and Securities and Exchange Commission Chairman Christopher Cox, delivers a statement about the economy …Read full story

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FINRA staff discuss the Firm Gateway, an online compliance tool that provides consolidated access to FINRA applications and timely firm-focused information. Hosts: Jeffrey Lamoreaux and Molly Schuermann; Producer: Kenneth Edward Piner.Read full story

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The leaders of 2 of the world’s largest options trading and clearing entities are criticizing the Securities and Exchange Commission’s emergency ban on short selling scores of financial stocks.Read full story

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Topix SEC NewsPresident Bush, second from the right, walks back to the Oval Office of the White House in Washington, Friday, Sept.Read full story

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Topix SEC NewsNew York State Attorney General Andrew Cuomo is coming to Rochester Monday. While consumer protection is on the agenda, there will be questions about Senator John McCain’s assertion that the Democrat would make …Read full story

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September 22: Industry Risk - SEC Approves Amended Order Requiring Reporting of Short Positions by Certain Investment Managers Location: Washington, DC Author: RiskCenter Staff Date: Monday, September 22, 2008 …Read full story

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Pushing on to shore up the markets, the list of banned short-sale stocks has been expanded to include the likes of General Electric Co., General Motors Corp.Read full story

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Diebold Inc., the Green-based teller-machine maker that hasn’t filed earnings results since the first quarter of 2007, was granted an extension for continued listing on the New York Stock Exchange through Oct.Read full story

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Topix SEC NewsThe City regulator has announced restrictions on short-selling, whereby traders bet on share prices falling, in a bid to tackle market instability.Read full story

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Topix SEC NewsThe Securities and Exchange Commission today took several coordinated actions to strengthen investor protections against “naked” short selling.Read full story

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THE corporate watchdog has reiterated there are restrictions on short selling, and further regulations are being considered by the government, after the market turmoil of the past year.Read full story

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Topix SEC NewsText of President Bush’s statement Friday on the economy, as transcribed by CQ Transcriptions: ___ BUSH: Good morning.Read full story

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Money Minute: Short-selling; Interest rates; oilRead full story

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Norfolk Southern Railway’s 5,000 engineers are getting a 19 percent raise under a new six-year labor agreement.Read full story

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NOT yet satisfied with the result of its recent fee cut in the capital market, the Federal Government, yesterday, took fresh steps to return the market to the path of growth.Read full story

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Invitrogen Corporation today provided the following updates on regulatory and financing relating to the proposed acquisition of Applied Biosystems announced on June 12, 2008.Read full story

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New rules aimed against abusive naked short selling of stock in all publicly traded companies were issued by the U.S. Securities and Exchange Commission on Wednesday.Read full story

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This podcast, the audio version of a webcast developed for the “What to Expect” series, explains in plain English what to expect when filing communications with FINRA’s Advertising Regulation department. Host: FINRA CEO Mary Schapiro; Presenters: Derek Ashworth and Amy Sochard; Producer: Kenneth Edward Piner.Read full story

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Topix SEC NewsWith the global financial system holding its collective breath, the U.S. government scrambled Saturday to help devise a rescue for Lehman Brothers and restore confidence in Wall Street and the American …Read full story

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Topix SEC NewsFPL Group, Inc. today said it has received notification of an unsolicited “mini-tender offer” by TRC Capital Corporation to acquire up to 2 million shares of FPL Group common stock, representing less than one …Read full story

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Topix SEC NewsU.S. securities regulators plan to take action on abusive short selling of stock before the end of the week, a source briefed on the matter said on Monday.Read full story

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Topix SEC NewsThe U.S. Securities and Exchange Commission missed a chance to protect investors from the collapse of the $330 billion auction-rate market by failing to police how banks sold the bonds to customers.Read full story

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Topix SEC NewsThe Federal Reserve announced late Sunday several steps to cope with the worst credit crisis in decades, including broadening the types of assets that investment banks can put up to get emergency loans from the Fed.The action came as U.S. and foreign commercial banks were hashing out a plan to inoculate the global […]

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Topix SEC NewsBank of America Corp. said Wednesday it will buy back about $4.5 billion worth of auction-rate securities held by roughly 5,500 customers nationwide as part of a settlement agreement with Massachusetts …Read full story

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The Securities and Exchange Commission has accused two former executives of a San Francisco technology firm of backdating stock options to employees for four years and concealing payments of $14.6 million, …Read full story

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Topix SEC NewsDENVER & PERTH, Australia - Samson Oil & Gas Limited announced today that drilling operations have been completed at the Davis Bintliff #1 well.Read full story

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The Securities and Exchange Commission said Thursday a brokerage firm will pay $275,000 fine because it failed to protect thousands of customers’ accounts from online hacking, even after an internal audit …Read full story

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The Securities and Exchange Commission today charged one of the world’s largest equipment rental companies, United Rentals, Inc.Read full story

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Topix SEC NewsDurable goods are just that: hard goods; they don’t wear out quickly and can be used over and over again for at least several years.Read full story

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DESPITE last week’s admission of guilt by a former executive of Kellogg Brown & Root to having participated in a decade-long scheme to pay $182 million worth of bribes to contractors to build Nigeria ’s premier …Read full story

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Topix SEC NewsON Semiconductor Corp. said Monday that the Securities and Exchange Commission declared effective its registration statement relating to its proposed all-stock acquisition of Catalyst Semiconductor Inc.Read full story

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Shares of Sovereign Bancorp Inc. fell Monday, a day after the federal government took over troubled mortgage giants Fannie Mae and Freddie Mac, in which its preferred holdings exceed those of any other U.S. …Read full story

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FINRA staff members discuss new amendments to FINRA’s rule on direct participation programs and real estate investment trusts. Hosts: Adam Arkel and Gary Goldsholle. Producer: Kenneth Edward Piner.Read full story

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Former KBR Inc. executive Albert Jackson Stanley pleaded guilty in U.S. District Court in Houston yesterday to conspiring to violate the Foreign Corrupt Practices Act and conspiring to commit mail and wire …Read full story

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The Wells Notice stems from an informal inquiry commenced by the SEC with respect to the disclosure, which informal inquiry was previously disclosed by Mannatech in its Form 10-K for the year ended December 31, …Read full story

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E quity-indexed annuities have drawn a lot of interest from investors - and regulators - in recent years.Read full story

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Topix SEC NewsSome investments need a plain-language warning sticker that you find on a stepladder or a crib.Read full story

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A former KBR official pleaded guilty to two counts of conspiracy Wednesday in federal court in Houston in connection with a decade-long scheme to bribe officials in Nigeria to influence the awarding of …Read full story

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Topix SEC NewsIn a development its CEO says puts an end to a trade secret case, Innovative Solutions & Support Inc.Read full story

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Bank of America Corp. , the nation’s second-largest bank, said it’s ready to settle state and federal regulatory probes into the way it marketed auction-rate securities on terms similar to previously announced …Read full story

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Topix SEC NewsThe federal government’s investigation of Houston-based KBR and bribery payments extends beyond the scheme to win contracts to build a large natural gas liquefaction plant in Nigeria, regulatory filings show.Read full story

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A former Wall St broker pleaded not guilty yesterday to charges he and a colleague duped investors into purchasing more than US$1 billion in high-risk securities by making it look as though the trades were …Read full story

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Topix SEC NewsRepresentatives from the Canadian Securities Administrators will hold a free information session for industry participants on the increasing use and importance of XBRL on September 24.Read full story

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Topix SEC NewsInterstate Bakeries Corp. said late Tuesday that after four years in bankruptcy, it is in the “final stages of negotiating a plan of reorganization and related financing.”The update was disclosed in …Read full story

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Liberty Shipping Group LLC has made an offer to purchase International Shipholding Corp., a Mobile-based company operates a diverse fleet of ships and is largely controlled by the Johnsen family.Read full story

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The move, against two Credit Suisse brokers, is the first criminal prosecution since the $330 billion auction-rate securities market meltdown in February.Read full story

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Topix SEC NewsA former chief executive of construction firm KBR Inc. pleaded guilty Wednesday to federal bribery and kickback charges in connection with the company’s natural gas operations in Nigeria from 1995 to 2004.Read full story

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Topix SEC NewsWASHINGTON - The U.S. Securities and Exchange Commission today sanctioned billionaire investor Kirk Kerkorian over his sale of General Motors stock in 2006, saying he misled the stock market about his attempts …Read full story

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Topix SEC NewsInvestor and Media Contact: Dilek Mir, 310-591-5619 dmir@corporateprofile.com or MacroSolve, Inc.Read full story

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Topix SEC NewsThe companies hired to design and build a pair of nuclear reactors in the Midlands will be paid $6.4 billion.Read full story

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The U.S. Securities and Exchange Commission has signed a deal with Australia to allow brokers and exchanges to do business in either country while being regulated only by their home country, as part of a larger …Read full story

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For the smallest of public corporations, is it a savvy business move to take a wait-and-see attitude - or just a case of procrastination? Marie Leone - CFO.com US August 29, 2008 If experience guides their …Read full story

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New documents uncovered by Eyewitness News show that federal investigators are looking for answers from Raleigh businessman James Webb after an ABC 11 investigation.Read full story

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