This podcast presents an overview of FINRA’s compliance education and training programs for firms and their employees. Hosts: Innessa Manning and Cathy Mattax. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsHARTFORD, Conn. Dover Corp.’s Robert Livingston earned $3.1 million in 2008, the year he became chief executive and president of the diversified manufacturer, according to an Associated Press analysis of a regulatory filing.Read full story
Filed under: SEC News | No Comments »
Debra Cafaro, chief executive of Ventas Inc., received a compensation package in 2008 of $7.6 million, up 86 percent from the year, mostly due to keeping the health care real estate investment trust ahead of its peers amid deteriorating economic and financial conditions.Read full story
Filed under: SEC News | No Comments »
U.S. Treasury Secretary Timothy Geithner speaks at the Council on Foreign Relations Wednesday, March 25, 2009, in New York.Read full story
Filed under: SEC News | No Comments »
Colgate-Palmolive Co. ’s chief executive, Ian M. Cook, received compensation valued by the company at nearly $11 million in 2008, up 31 percent from a year earlier, according to an analysis of a proxy statement filed Wednesday with the Securities and Exchange Commission.Read full story
Filed under: SEC News | No Comments »
Pulte Homes Inc. Chief Executive Richard Dugas received 2008 compensation valued at $5.8 million, a 10 percent drop from his 2007 pay package, according to Associated Press calculations of figures disclosed in a regulatory filing.Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
FINRA staff discuss sales practice obligations relating to investments sold as an alternative to cash. Hosts: Kristy Salsbury and Joe Savage. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsMar. 18–Lenders gave MGM Mirage some much needed financial relief through the middle of May.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsSeveral U.S. investigations into subprime lenders involve possible insider trading before announcements of negative news about the lender, a Securities and Exchange Commission member said on Friday.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsAs many as 32.8 mn shares were sold and not delivered on time. The biggest bankruptcy in history might have been avoided if Wall Street had been prevented from practicing one of its darkest arts.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsDAYTON, Ohio - Harvey Pitt, former chairman of the U.S. Securities and Exchange Commission, said Friday he believes it could be up to two years before the economy bottoms and then rebounds.Read full story
Filed under: SEC News | No Comments »
Federal prosecutors unsealed a complaint Friday charging the president of a suburban Sacramento company with running a $40 million investment scam that bilked about 150 investors, many of whom he met through his Mormon church.Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Revisit the latest Notices, compliance resources and news from February 2009. Hosts: Kenneth Edward Piner and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
This podcast, the last in a three-part series on supervising electronic communications, discusses how registered representatives’ use of social networking Web sites to communicate firm business relates to FINRA’s rules regarding communications with the public. Hosts: Mark Bleich and Kimberly Flanders. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsA new filing with the Securities and Exchange Commission shows that the chairman and chief executive officer of UPS received total compensation valued at $5.2 million in 2008.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe U.S. Securities and Exchange Commission said it will meet on April 8 to consider whether to propose “short sale price test rules,” which could include reinstating the so-called “uptick rule.” Securities and …Read full story
Filed under: SEC News | No Comments »
Federal investigators are looking to freeze the assets of Ruth Madoff, the wife of jailed swindler Bernard Madoff, because of fears she might flee the country or otherwise spirit away some of the $93 million in …Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsCanadian accounting and auditing software maker CaseWare International Inc. filed a trademark infringement lawsuit against the U.S. Securities and Exchange Commission for its use of the mark “IDEA” to brand its …Read full story
Filed under: SEC News | No Comments »
Cytori Therapeutics, Inc. closed and received net proceeds from the definitive agreements the Company entered into on March 10, 2009 to raise $10 million, before placement agent fees and offering expenses.Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »