FINRA staff discuss the FTC’s Red Flags Rule, a regulation under the FACT Act of 2003 that requires certain firms to set up and implement a written identity theft prevention program. Hosts: Patricia Albrecht and Matt Vitek. Producer: Kenneth Edward Piner.Read full story
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Bethesda plans to stop Interplay developing a Fallout MMO following an alleged breach of a trademark licence agreement, a Securities and Exchange Commission filing has revealed.Read full story
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Steven Rattner, the leader of the Obama administration’s auto task force, was one of the executives involved with payments under scrutiny in a probe of an alleged kickback scheme at New York state’s pension fund, The Wall Street Journal reported late Thursday, citing a person familiar with the matter.Read full story
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A corruption scandal at the state’s retirement fund is the latest in a long string involving politically connected intermediaries called placement agents sometimes hired by investment firms hoping to land rich investment deals with pension officials, experts said.Read full story
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Topix SEC NewsThe chief executive of R.R. Donnelley & Sons Co., Thomas Quinlan, received compensation valued at $5.6 million in 2008 - about 43 percent less than in 2007 - according to an Associated Press analysis of a regulatory filing.Read full story
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House of Representatives Speaker Nancy Pelosi wants to create a special panel to investigate the causes of the Wall Street meltdown that helped put the country into a severe economic recession, a spokesman said on Thursday.Read full story
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An overview of FINRA’s Trading Ahead of Research Reports rule, FINRA Rule 5280, effective April 20, 2009. Hosts: Phil Shaikun and Matt Vitek. Producer: Kenneth Edward Piner.Read full story
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The President of an unregistered broker-dealer operating out of West Covina fraudulently raised $6.4 million from investors, and he had already been under a criminal investigation by the IRS for scamming people across the country, officials from the United States Securities and Exchange Commission said.Read full story
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The new top cop at the U.S. Securities and Exchange Commission is viewed as the best hope in years to root out financial fraud and convince fuming investors that the regulator that missed Bernard Madoff’s massive fraud is up to the job.Read full story
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The US Securities and Exchange Commission on Wednesday began looking into rules to curb short-selling of stocks blamed for collapsing the shares of Wall Street firms last year amid financial turmoil.Read full story
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Topix SEC NewsSeeking to restore investor confidence in the markets, securities regulators made several proposals Wednesday that would restrict investors from betting on a stock’s decline at specific times.Read full story
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Xcel Energy Inc.’s Chief Executive Richard Kelly received a pay package worth $4.9 million in 2008.Read full story
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Revisit the latest Notices, compliance resources and news from March 2009. Hosts: Kenneth Edward Piner and Michelle Volpe-Kohler. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsMillipore Corporation , a leading provider of technologies, tools and services for the global life science industry, today announced that the Company’s proxy materials for its 2009 Annual Shareholder Meeting are now available on its website.Read full story
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Topix SEC NewsThe chief executive of Kraft Foods Inc., maker of brands like Oreo and Nabisco, received compensation worth $16 million in 2008, an increase of 38 percent from the prior year, according to Associated Press calculations of data filed with regulators Tuesday.Read full story
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EZchip Semiconductor Ltd. , a provider of network processors, today announced it has filed its annual report containing audited consolidated financial statements for the year ended December 31, 2008, with the U.S. Securities and Exchange Commission.Read full story
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Topix SEC NewsIDM Pharma, Inc. , a company focused on the development of innovative cancer products, including MEPACT , which was recently approved in Europe for the treatment of osteosarcoma, today announced that its financial statements for the fiscal year ended December 31, 2008, included in the Annual Report on Form 10-K, filed with the […]
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Watson Pharmaceuticals Inc. President and Chief Executive Paul M. Bisaro’s compensation fell by 50 percent in his first full year at the helm of the drug developer on a steep decline in stock compensation, according to an Associated Press analysis.Read full story
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Topix SEC NewsThe chairman and chief executive officer of Alaska Air Group Inc., William S. Ayer, received total compensation valued at $1.6 million in 2008, according to a regulatory filing Monday.Read full story
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Topix SEC NewsLOS ANGELES The former chairman and chief executive of giant homebuilder KB Home pleaded not guilty Monday in a stock options backdating case that authorities say bilked shareholders of millions of dollars.Read full story
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The president and chief executive of electronic-payments processor Mastercard Inc.Read full story
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Topix SEC NewsThe Securities and Exchange Commission ordered a halt in trading of a Ridgefield-based company as it investigates its failure to file any reports during the last two years.Read full story
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Topix SEC NewsThe case against Texas financier R. Allen Stanford centers on a bank product that’s the linchpin of security for safety-conscious consumers — certificates of deposit.Read full story
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