Topix SEC NewsA Bank of America branch is pictured in New York May 7, 2009. Reuters First Published : Last Updated : NEW YORK: Bank of America Corp formally denied U.S. Securities and Exchange Commission claims accusing it of misleading shareholders about bonuses it let Merrill Lynch & Co pay employees before the companies’ Jan.Read […]
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Topix SEC NewsThe board of directors of Facet Biotech Corporation today recommended that Facet Biotech’s stockholders take no action at this time in response to the announcement by Biogen Idec Inc.Read full story
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Reza Saleh, Focus of $8.6 Million Insider-Trading Probe, Lived Quietly in Texas After Leaving Revolutionary Iran The figure at the center of Wall Street’s latest insider-trading scandal also played a key role in another drama: the daring 1979 rescue of two American hostages held in Iran that was financed and orchestrated by H. Ross Perot.Read […]
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A federal court dismissed an appeal today by Broadcom Corp. co-founder Henry Samueli who had sought to overturn over a judge’s rejection of a plea bargain that would have kept the billionaire out of prison.Read full story
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Topix SEC NewsU.S. Senator Jack Reed proposed giving the Securities and Exchange Commission jurisdiction over futures based on securities, which are now overseen by the Commodity Futures Trading Commission .Read full story
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FINRA staff discuss a consolidated rule on electronic filing requirements for uniform forms and related supervision requirements. Hosts: Patricia Albrecht and John Nachmann; Producer: Kenneth Edward Piner.Read full story
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State and federal regulators late this afternoon shut down the two banking subsidiaries of ailing Irwin Financial Corp.Read full story
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The government said Monday it has decided to go to trial against Bank of America Corp.Read full story
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Topix SEC NewsA former Nixon Peabody lawyer was charged with insider trading in D.C. federal court in a lawsuit filed last week.Read full story
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Topix SEC NewsRegions Bank in the US has agreed to pay a $1 million penalty to settle a Securities and Exchange Commission fraud complaint.Read full story
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Topix SEC NewsOver-the-counter derivatives should be regulated the same way as the commodities or securities they are based on, said Securities and Exchange Commission Chairwoman Mary Schapiro on Tuesday.Read full story
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The lawyer trying to unravel what the government calls a multibillion-dollar Ponzi scheme run by Texas businessman R. Allen Stanford fired back at critics who said his request for $27 million in fees is excessive.Read full story
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Federal regulators on Thursday proposed new rules designed to stem conflicts of interest and provide more transparency for Wall Street’s credit rating industry, which was widely faulted for its role in the subprime mortgage debacle and the financial crisis.Read full story
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Topix SEC NewsDES MOINES, Iowa - Shares of rating agency Moody’s Corp. fell Thursday as government agencies began looking into credit rating companies’ actions during the financial crisis.Read full story
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September 17: Operational Risk - SEC Announces New Division of Risk, Strategy, and Financial Innovation Location: Washington, DC Author: RiskCenter Staff Date: Thursday, September 17, 2009 Securities and Exchange Commission Chairman Mary L. Schapiro yesterday announced that University of Texas School of Law Professor Henry T. C. Hu has been named …Read full story
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Topix SEC NewsPatrick Byrne famously issued a thumb-your-nose press release to the SEC in 2006, when the company’s records were subpoenaed in an SEC investigation of its accounting.Read full story
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The second of three podcasts on continuing membership applications explains how to submit one to FINRA. Hosts: Lorraine Lee and Ann-Marie Mason; Producers: Jeffrey Lamoreaux and Kenneth Edward Piner.Read full story
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Topix SEC NewsIt boasts 457 pages of scandal, deceit and even a little bit of sex, but the a oeInvestigation of Failure of the SEC to Uncover Bernard Madoffa s Schemea released by the Securities and Exchange Commission just at the start of Labor Day weekend, left me wanting more.Read full story
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Topix SEC NewsThe Securities and Exchange Commission last week charged a New York money manager with running a $40 million Ponzi scheme in which he allegedly promised investors that their money would be used for safe investments - but apparently spent the money on real estate and a mail order pornography business.Read full story
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Talecris Biotherapeutics is preparing to move ahead with one of the largest initial public offerings of stock ever by a Triangle company.Read full story
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Topix SEC NewsFormer Gov. Eliot Spitzer appears on CBS’ ‘Early Show’ Monday. On the anniversary of the fall of financial giant Lehman Brothers , former Gov.Read full story
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A federal judge on Monday rejected a $33 million settlement between the Securities and Exchange Commission and Bank of America Corp.Read full story
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This podcast, the audio version of a FINRA webcast, describes anti-money laundering due diligence requirements for working with private banking clients. Hosts: Lisa Jones Toms and Richard Vagnoni; Producer: Kenneth Edward Piner.Read full story
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Two leading directors of the Securities and Exchange Commission said Thursday that the agency failed in its main mission to protect investors from Bernard Madoff’s Ponzi scheme.Read full story
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Topix SEC NewsThey have always been known to be wealthy, but few are aware that the charity cup of the Arroyo clan also runneth over-at least on paper.Read full story
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Topix SEC NewsRaffanello, 61, of Coral Gables was charged with obstructing an SEC case, destroying records in a federal investigation and conspiracy for his work at Stanford’s Fort Lauderdale office.Read full story
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The office of New York Attorney General Andrew Cuomo upped the ante in its investigation of Bank of America Corp., accusing the bank of using attorney-client privilege to avoid investigators’ questions.Read full story
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DURECT Corporation today reported that it has entered into a privately negotiated transaction to sell 4,444,444 primary shares of common stock to affiliates of Venrock at a price of $2.25 per share, raising net proceeds to DURECT of approximately $10 million.Read full story
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VeriFone Holdings Inc. on Tuesday agreed to settle regulators’ charges that it falsified accounting records by pledging to never violate federal securities laws.Read full story
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Topix SEC NewsThe Commodity Futures Trading Commission and the Securities and Exchange Commission are hearing from market participants and experts, including CME CEO Craig Donohue, this week on how to harmonize their two styles of policing markets.Read full story
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ISLAMABAD: The Securities and Exchange Commission of Pakistan with the approval of the Federal Government, has withdrawn the earlier amendments made in the Companies Rules, 1987 .Read full story
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Topix SEC NewsTwo agencies with oversight of the financial markets on Wednesday started coordinating their rules to eliminate differences involving similar types of investments, while the head of a major U.S. exchange said those efforts could do “more harm than good.” The Securities and Exchange Commission, the government’s primary markets watchdog, and the …Read full […]
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The watchdog of the Securities and Exchange Commission has found that the agency consistently mishandled its investigations of Bernard Madoff’s business, despite ample warnings of the multibillion-dollar fraud.Read full story
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Revisit the latest Notices, compliance resources and news from August 2009. Hosts: Kenneth Edward Piner and Michelle Volpe-Kohler. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsDelta Air Lines Inc. has filed a new lawsuit in its continued attempt to break a contract with Delta Connection partner Mesa Air Group Inc.Read full story
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Topix SEC NewsAugust 2009 will be remembered as something of a mixed bag for Apple. There was Google Voicegate , and the backlash it generated from the tech press and public alike, culminating in questioning from the FCC.Read full story
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A Chattanooga psychiatrist accused of insider trading in a complaint involving the former Covansys Corp.Read full story
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BILLIONAIRE investor Carl Icahn has sold 12.7 million shares in Yahoo!, cutting his stake in the company a month after it formed an Internet search partnership with software giant Microsoft.Read full story
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The head of the Securities and Exchange Commission on Monday told U.S. investment that they should avoid using bonuses and other inducements to recruit brokers that could encourage them to generate high sales volumes and act against customers’ interests.Read full story
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