This podcast, an audio version of a FINRA webcast, provides an overview of the equity trading process. It describes the path of an equity trade from order through entry, execution and settlement. It also highlights several important equity trading rules. Hosts: Kenneth Edward Piner and Kristy Salsbury; Producer: Kenneth Edward Piner.Read full story
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The final approval is subject to satisfaction of certain conditions, including approval by Synovus ” shareholders of amendments to the company ” s articles of incorporation and bylaws to allow Synovus to issue …Read full story
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Topix SEC NewsResponding to calls for a unified process, the Securities and Exchange Commission has approved a plan for U.S. equities exchanges to reserve, select and allocate securities symbols.Read full story
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Court Orders Defendants to Pay Total of $8.8 Million Washington, D.C., Nov. 14, 2008 - The Securities and Exchange Commission today announced that the U.S. District Court for the Southern District of New York …Read full story
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Topix SEC NewsThe chairman of the body that oversees U.S. accounting rulemakers has asked U.S. President George W. Bush and the Group of 20 summit to support the independence of global accounting standard-setters. In a …Read full story
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Great Neck-based Feldman Mall Properties , fighting the weak economy for more than a year now, announced a potential deal to sell three of its malls to a real-estate investment firm for $9.1 million.Read full story
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Grace Vogel, FINRA’s EVP of Member Regulation, discusses managing risk in today’s market. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsThe Securities and Exchange Commission today charged North Carolina resident J.V. Huffman and his company, Biltmore Financial Group, Inc., with securities fraud for conducting a Ponzi scheme where more than $25 …Read full story
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Topix SEC NewsBankAtlantic Bancorp didn’t specifically say it had applied to raise capital by issuing preferred shares to the Treasury through the Troubled Assets Relief Program, or TARP.Read full story
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Topix SEC NewsThis is a formal notice filed with the SEC as a condition to obtaining additional time to prepare and file the Company’s quarterly report on Form 10-Q for the third quarter.Read full story
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Time Warner Cable Inc. today announced that it has priced a $ 2 billion underwritten public offering of debt securities, including $750 million aggregate principal amount of 8 1 4 % notes due 2014 and $1.25 …Read full story
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The SEC settled with the network security company after examining its stock-option practices.Read full story
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Topix SEC NewsSecurities and Exchange Commission John White, director of the Division of Corporation Finance at the Securities and Exchange Commission, will leave the agency at the end of the year, the SEC announced today.Read full story
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The Securities and Exchange Commission is expected to publish the long-delayed roadmap for transitioning to International Financial Reporting Standards on Friday.Read full story
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Topix SEC NewsA Securities and Exchange Commission judge found little evidence to support a report that the agency failed to enforce the law in a 2003 investigation into Bear Stearns pricing of debt, according to an …Read full story
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Topix SEC NewsAs George Miller welcomed 60 bankers to the chandeliered Charlotte City Club one evening in September, the focus was on more than the recent bankruptcy of Lehman Brothers Holdings Inc.Read full story
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Topix SEC NewsInsurance agents are blasting a controversial Securities and Exchange Commission proposal to classify equity index annuities as securities.Read full story
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Revisit the latest Notices, compliance resources and news from October 2008. Hosts: Kenneth Edward Piner and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
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The Securities and Exchange Commission and the North American Securities Administrators Association said they would waive for nine months the initial set-up and annual renewal fees paid by investment advisor …Read full story
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A former Goldman Sachs analyst who pleaded guilty to criminal charges for his role in a $6.7 million insider-trading scheme violated his parole last spring and may have fled the country, according to …Read full story
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Topix SEC NewsImClone Systems Incorporated today announced that the waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 , with respect to the tender offer for all of the outstanding shares of …Read full story
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Shares of Las Vegas Sands plunged $3.63 , or 31.1 per cent, to $8.03 in morning trading.Read full story
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Goldman Sachs Asset Management LP plans to launch a new municipal closed-end fund as part of its existing lineup of tax-exempt mutual funds, according to an Oct.Read full story
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Topix SEC NewsBOSTON : Lazard Capital Markets and four former employees have agreed to pay more than $3 million to resolve a federal complaint over lavish gifts the brokerage firm showered on Fidelity Investments employees …Read full story
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Topix SEC NewsThe Securities and Exchange Commission today charged Miami resident Andres L. Pimstein and two private companies, The Bottom Line of South Florida, Inc.Read full story
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Intel Corporation warned today that the economic slowdown may hurt its business but the world’s biggest computer chipmaker maintained its fourth-quarter revenue projections.Read full story
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Topix SEC NewsBy FIL C. SIONIL Banco de Oro Unibank Inc. , owned and controlled by the countrya TMs richest person, Henry Sy, can finally proceed with the integration into its main operations of its three wholly-owned …Read full story
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Lazard Capital Markets, a privately-owned broker spun off from Lazard, the investment bank, and four former employees have agreed to pay more than $3 million to settle civil charges after it was accused of …Read full story
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