This podcast includes a discussion of three new FINRA rules that become effective on June 15, 2009. Hosts: Adam Arkel and Brant Brown; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsAn issue being debated inside the SEC is whether Citigroup, as a recipient of government-rescue funds, should pay a large penalty in the case, according to the paper.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsFederal prosecutors and the FBI are investigating allegations of insider trading at the Securities and Exchange Commission - and the probe might lead to new regulations on how SEC employees invest their money.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission today charged 10 brokers who worked for the former Brookstreet Securities Corp.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsContact Norma I. Salcido FiberNet Telecom Group Inc. 212.405.6210 investor.relations@ftgx.com FIBERNET TELECOM GROUP, INC.Read full story
Filed under: SEC News | No Comments »
Federal authorities are suing a Kauai man who they say defrauded investors of about $16 million that he was supposed to be investing in the stock market.Read full story
Filed under: SEC News | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
Read full story
Filed under: SEC Updates | No Comments »
This podcast, the audio version of a FINRA webcast, provides an overview of municipal securities supervision requirements. Host: Cindy Friedlander; Producers: Jeffrey Lamoreaux and Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsAn executive and an employee of a broker-dealer firm were charged with defrauding Citgo Petroleum Corp, a subsidiary of PDV Holding Inc owned by Venezuelan state oil company PDVSA, court documents released on Wednesday show.Read full story
Filed under: SEC News | No Comments »
It turns out that the Securities and Exchange Commission has some market whiz kids among its ranks, after all.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsUCBH Holdings, Inc. , the holding company of United Commercial Bank , today announced that it will postpone its Annual Meeting of Stockholders scheduled for May 21, 2009, to allow time for the Company to complete the restatement of its previously issued consolidated financial statements as of and for the year ended December […]
Filed under: SEC News | No Comments »
Topix SEC NewsJAMES G. OSSIE, 48, of Atlanta, pleaded guilty today in federal district court to a wire fraud scheme involving the operations of his foreign exchange trading firm, CRE Capital.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsColonial BancGroup Chairman, CEO and President, Robert E. Lowder, announced today that the due diligence contingency under the stock purchase agreement dated March 31, 2009 has been satisfied.Read full story
Filed under: SEC News | 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 »
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 »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »
This podcast, the second in a five-part series on examination priorities, focuses on supervision, anti-money laundering and data protection. Hosts: Janet Marsh and Dan Sibears; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsAn SEC filing describes the legal actions, plus reveals potential violation of bribery law and ERP project woes Sun Microsystems shareholders filed three separate lawsuits last month in an effort to halt the company’s pending sale to Oracle, according to a filing Sun made with the U.S. Securities and Exchange Commission Friday.Read full […]
Filed under: SEC News | No Comments »
Topix SEC NewsNEWARK - A Park National Corp. executive, representing the American Bankers Association, told the Securities and Exchange Commission that short selling of stock causes problems for banks.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsBillionaire investor Carl Icahn wants the board of Biogen Idec Inc to consider splitting the biotechnology company into one firm focused on neurology and another focused on cancer.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsNew York’s attorney general may soon announce that an associate of Henry Morris, a top fund raiser for the state’s former comptroller, has pleaded guilty to securities fraud and is cooperating with investigations, the Wall Street Journal said.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsFor Bernie Madoff, mum was the word. The Pope of Ponzi demanded anonymity as a cost of doing business, according to ‘The Madoff Affair,’ an illuminating one-hour special airing tomorrow on PBS at 9 p.m. New York time.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 »
Revisit the latest Notices, compliance resources and news from April 2009. Hosts: Kenneth Edward Piner and Kristy Salsbury. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
The Archdiocese of New Orleans said Tuesday it was exploring its legal options after a Florida investment firm was accused in federal court documents of defrauding the archdiocese and other investors of a combined total of $550 million.Read full story
Filed under: SEC News | No Comments »
Washington - The Securities and Exchange Commission has made progress in tightening its procedures for managing its caseload of enforcement investigations but internal communications and use of resources still must be improved, congressional auditors have concluded in a new report.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsStanford Financial Group’s former chief investment officer formally denied civil fraud charges related to an alleged $8 billion scheme, according to a late court filing on Thursday.Read full story
Filed under: SEC News | No Comments »
Chesapeake Energy Corp. CEO Aubrey McClendon said Tuesday he is surprised by the furor over the $75 million bonus he received from the company as part of his new contract.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission’s top regulator of investment advisers is considering whether investment advisory firms should be regulated by a self-regulatory organization.Read full story
Filed under: SEC News | No Comments »
SEC News DigestRead 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 »
FINRA Chairman and CEO Rick Ketchum shares his observations on the current state of the industry, and discusses challenges facing firms and regulators. Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
This podcast, the first in a five-part series on examination priorities, includes both general concerns due to current market conditions and specific areas of focus for FINRA. Hosts: Janet Marsh and Dan Sibears; Producer: Kenneth Edward Piner.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsThe Securities and Exchange Commission today obtained an emergency court order to freeze the assets of a Connecticut-based money manager and the hedge funds that he controls, alleging that he forged documents, promised false returns, and misrepresented assets managed by the funds to illicitly raise more than $30 million from investors.Read full story
Filed under: SEC News | No Comments »
The Securities and Exchange Commission today charged a former Citigroup investment banker for repeatedly tipping his brother about upcoming merger deals in an insider trading scheme that involved friends and family throughout Northern California and the Midwest and reaped more than $6 million in illicit profits.Read full story
Filed under: SEC News | No Comments »
Bank of America Corp. Rep. Maxine Waters, D-Calif., has urged that brokers votes in the shareholder election of Bank of America Corp.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsWednesday, April 29, 2009 By our correspondent ISLAMABAD: The Securities and Exchange Commission of Pakistan has decided to hold a meeting with members of the Pakistan Banking Association in Karachi on May 4 in an attempt to take bankers on board about proposed amendments in the draft of Corporate Rehabilitation Act .Read full […]
Filed under: SEC News | No Comments »
Topix SEC NewsProsecutors are investigating whether three executives from AIG Financial Products, at 50 Danbury Road on Wilton, misled investors and auditors about company losses, a source said.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 »
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 »
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 »
SEC News DigestRead full story
Filed under: SEC Updates | No Comments »