FINRA staff discuss firms’ responsibilities when participating in unregistered resales of restricted securities. Hosts: Gary Goldsholle and Lisa Jones Toms; Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsThey are widows, retired schoolteachers, electrical contractors and Korean War veterans.Read full story
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Federal regulators say the promoter of a Chicago sports talk Web site used investors’ funds to buy cars, jewelry, and a piano.Read full story
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Topix SEC NewsMerck & Co. and Schering-Plough Corp. will hold special meetings in August for their stockholders to approve their pending merger, which would make the combined company the world’s second-largest prescription drugmaker.Read full story
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Topix SEC NewsToday the Florida Department of Health confirmed the first death in the state, attributed to swine flu.Read full story
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The court-appointed lawyer overseeing Allen Stanford’s financial empire has reached a deal to return the Texas billionaire’s five luxury aircraft to the leasing agent in exchange for $4.8 million dollars, according to a court filing.Read full story
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Part three of this five-part series on examination priorities focuses on product-related sales practice priorities. Hosts: Janet Marsh and Dan Sibears; Producer: Kenneth Edward Piner.Read full story
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The wife of a senator playing a leading role on a national health care overhaul sits on the boards of three health care companies.Read full story
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Topix SEC NewsAmazon.com Inc. will pay $51 million to Toys R Us Inc. to end a long-standing legal dispute between the online retailer and the toy seller.Read full story
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Topix SEC NewsThe Obama administration struck a delicate balance on executive pay Thursday, blaming flawed compensation packages for encouraging disastrous risk-taking but insisting it doesn’t want to dictate how corporations reward top people.Read full story
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The Securities and Exchange Commission filed suit against two Sarasota residents for bilking investors out of $14 million.Read full story
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DHAKA: The Securities and Exchange Commission will soon formulate a charter for capital market investors like the ‘Citizens’ Charter’ to define rights of the investors and their responsibility to the stock market.Read full story
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Revisit the latest Notices, compliance resources and news from May 2009. Hosts: Kenneth Edward Piner and Michelle Volpe-Kohler. Producer: Kenneth Edward Piner.Read full story
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The Securities and Exchange Commission is creating a new committee to help a oegive investors a greater voice,a according to a press release from the Commission.Read full story
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Topix SEC NewsJefferson County has asked the U.S. Securities and Exchange Commission to consider how any Wall Street firms that have violated securities laws in their dealings with the county may support the county’s efforts to restructure its $3.9 billion sewer debt.Read full story
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Topix SEC NewsWith all the talk about the need for greater economic oversight, what new protections can people expect when it comes to their day-to-day finances? The question is still mostly up in the air, but there are some hints about what reforms could be around the corner.Read full story
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Topix SEC NewsCallWave, Inc. , a leading global provider of Internet, mobile and Web-based collaboration software solutions, yesterday announced that it extended its Tender Offer by one day, from 5 p.m. Eastern Daylight Time on June 4, 2009, to 12 a.m. EDT on June 5, 2009.Read full story
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Topix SEC NewsLawyers for Allen Stanford, the Texas financier charged with an $8.5 billion fraud by U.S. regulators, on Friday characterized a $20 million fee request by the case’s receiver as “exorbitant,” according to a court filing.Read full story
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