This podcast, the second of three on supervising electronic communications, discusses the application of FINRA’s communication with the public rules for blogs, bulletin boards and chat rooms. Hosts: Mark Bleich and Kimberly Flanders. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsFBI agents have arrested the chief investment officer of troubled Stanford Financial Group, accusing Laura Pendergest-Holt of obstructing a Securities and Exchange Commission fraud investigation.Read full story
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Topix SEC NewsThe Public Company Accounting Oversight Board would have the authority to inspect auditors for all broker-dealer firms under legislation introduced Thursday by Rep.Read full story
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Topix SEC NewsThe Obama administration announced plans Thursday to boost the U.S. Securities and Exchange Commission’s budget by 13% to help the investor protection agency better police markets and detect fraud.Read full story
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Analysis and discussion with Former SEC Chairman William H. Donaldson.Read full story
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Topix SEC NewsTop Wyeth executives will get multimillion-dollar cash payouts related to the pharmaceutical company’s pending acquisition by Pfizer Inc., according to a regulatory filing on Friday.Read full story
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Topix SEC NewsWhen Mary Schapiro was appointed as the head of the Securities and Exchange Commission in December, it was understood that she would be charged with transforming the agency into a “21st-century regulator.” And …Read full story
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On paper, it looked like R. Allen Stanford was making all the right moves. Subprime mortgages? His companies never got involved.Read full story
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Topix SEC NewsST. PAUL, Minn. — Minnesota Gov. Tim Pawlenty is urging victims of Bernard Madoff’s alleged $50 billion Ponzi scheme to file claims for compensation.Read full story
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Less than a month after becoming the head of the Securities and Exchange Commission, Mary L. Schapiro is moving swiftly to reverse major decisions by her predecessor and to strengthen an enforcement program …Read full story
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Topix SEC NewsThe Securities and Exchange Commission, under fire for failing to heed warnings about the Ponzi scheme that was apparently run by Bernard L. Madoff and lasted for decades, is now under scrutiny for its handling …Read full story
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Topix SEC NewsThe US Securities and Exchange Commission sued a Hawaii company for allegedly running a Ponzi scheme targeting investors in the US and Japan, many of whom are deaf.Read full story
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Topix SEC NewsIn December, just after the news broke that legendary investor Bernie Madoff was arrested on charges of securities fraud, Phyllis Lerner got a fateful phone call.Read full story
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In this Wednesday, Jan. 14, 2009 file photo, Bernard L. Madoff, the accused mastermind of a $50 billion Ponzi scheme, leaves Federal Court in New York.Read full story
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Shantanu Narayen, the chief executive of Acrobat software maker Adobe Systems Inc., was awarded compensation valued at $16.4 million in fiscal 2008, although the vast majority of that was in stock options that …Read full story
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Topix SEC NewsOver the years, Wall Street has had its share of criminals, many of whom left despair and loss and their wakes.Read full story
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This podcast, the first of three on electronic communications, offers suggestions for supervising employee use of Web sites and explains how FINRA’s rules relate to this activity. Hosts: Mark Bleich and Kimberly Flanders. Producer: Kenneth Edward Piner.Read full story
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FINRA staff discuss firms’ obligations related to the sale of bond funds, corporate bonds, structured products and non-conventional instruments in a high-yield environment. Hosts: Kristy Salsbury and John Savage. Producer: Kenneth Edward Piner.Read full story
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NEW YORK : General Electric Co. said Wednesday that Chairman and Chief Executive Jeffrey Immelt declined his 2008 bonus as the company struggles with a declining stock price amid a deteriorating economy.Read full story
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Topix SEC NewsRobert H. Herz, Chairman of the Financial Accounting Standards Board , today announced the addition of new FASB agenda projects intended to improve the application guidance used to determine fair values and …Read full story
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Federal regulators said on Wednesday they do not know the whereabouts of billionaire Texas banker Allen Stanford, charged with a “massive” $8 billion international financial fraud.Read full story
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UBS AG , Switzerlanda s largest bank, will pay $780 million and disclose the names of some secret account holders to avoid U.S. prosecution on a charge that it helped thousands of wealthy Americans evade taxes.Read full story
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Topix SEC NewsPresident Barack Obama’s campaign fund moved Wednesday to distance him from the burgeoning scandal involving Texas businessman R. Allen Stanford, donating the value of Stanford’s $4,600 campaign contribution to …Read full story
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The CEO of luxury homebuilder Toll Brothers Inc. received a compensation package last year valued at $8.8 million, with the bulk of his pay coming from stock options, according to an analysis of a regulatory …Read full story
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Tellabs Inc. said in a regulatory filing Friday that management has launched a cost-cutting restructuring effort that will eliminate 60 jobs at the Naperville communications-equipment maker.Read full story
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New York Congressman Gary Ackerman verbally whipped members of the Securities and Exchange Commission Thursday in Washington for not uncovering the alleged $50 billion dollar fraud perpetrated by Bernard …Read full story
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Whistle-Blower Hits Hub SEC Office ; Slams Staffers’ `Inept’ Handling of Madoff Boston Herald By JERRY KRONENBERG The Bay State financial expert who tried for years to blow the whistle on Bernard Madoff is …Read full story
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Topix SEC NewsSalesforce.com’s president and chief strategy officer, Steve Cakebread, left the company in early February, the Web-based software provider has indicated in a filing with the SEC.Read full story
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Ottawa Senators owner Eugene Melnyk said Tuesday he will pay US$1 million to settle with the U.S. Securities and Exchange Commission but he doesn’t admit to any wrongdoing.Read full story
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Mumbai: A high-level delegation from the US Securities and Exchange Commission is expected to meet capital market regulator SEBI and Satyam Board in the next two days to gather information on the Satyam …Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission was set up to combat fraudulent practices.Read full story
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Hungarian Telephone and Cable Corp. announced today that its previously announced special meeting of stockholders will take place at the offices of Simpson Thacher & Bartlett LLP, 425 Lexington Avenue, New …Read full story
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Topix SEC NewsNotice is hereby given that a class action has been commenced in the United States District Court for the Southern District of New York arising from the proxy communications and other public disclosures …Read full story
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Mary Schapiro presents an overview of the proposed consolidation of NASD and New York Stock Exchange (NYSE) regulation, including details on the transaction, the benefits of consolidation, the planned governance structure and voting procedures. Producer: Kenneth Edward Piner.Read full story
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This podcast is an audio recording of Mary Schapiro’s Speech at the 2007 Fall Securities Conference. Producer: Kenneth Edward Piner.Read full story
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Revisit the latest Notices, compliance resources and news from January 2009. Hosts: Kenneth Edward Piner and Michelle Volpe-Kohler. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsThe Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith, Inc.Read full story
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Topix SEC NewsFeb 02, 2009 /PRNewswire via COMTEX/ — Reduces Volume of Audio Recordings Requiring Review by 95 Percent; Saving Costs and Improving Investigators’ Confidence CAMBRIDGE, England and SAN FRANCISCO, February 2 …Read full story
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Two big items are the written code of ethics and an annual compliance review. With Congress and the new Obama Administration calling for tighter regulation of hedge funds, compliance is going to be a hot topic …Read full story
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Topix SEC NewsMerrill Lynch & Co. Inc. , which was recently acquired by Bank of America Corp. , has agreed pay $1 million to settle charges that it failed to disclose conflicts of interest in recommending the use of its …Read full story
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Topix SEC NewsHARRISON TWP., Montgomery County - Rex Stores Corp., a retailer of electronics and appliances, said it has sold part of its appliance inventory and other assets to Appliance Direct Inc., which will take over …Read full story
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This podcast focuses on FINRA’s New Account Application Template, a voluntary resource to help firms design and update brokerage applications. Hosts: Sherell Fuller and Julie Hoffman; Producer: Kenneth Edward Piner.Read full story
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Five top Securities and Exchange Commission officials are expected to testify at a Congressional hearing into why regulators missed Bernard Madoff’s alleged $50 billion fraud.Read full story
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Topix SEC NewsMerrill Lynch is paying a $1 million civil fine to settle with federal regulators who accused the company of misleading pension consulting clients and failing to disclose conflicts of interest in recommending …Read full story
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Topix SEC NewsThe Senate Thursday introduced the Hedge Fund Transparency Act of 2009, which, most notably, would require hedge funds to register with the Securities and Exchange Commission.Read full story
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Topix SEC NewsCongress is demanding answers from regulators at the SEC regarding the Bernard Madoff scheme as other ponzi schemes pop up across the country.Read full story
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Topix SEC NewsBancorp Rhode Island, Inc. today sent the following letter to shareholders: January 30, 2009 Dear Fellow Shareholder, We have been informed by Richard J. Lashley and John W. Palmer, principals of PL Capital, …Read full story
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