FINRA staff introduce 11 new FINRA rules for the consolidated rulebook, 10 of which are effective on December 14, and one that goes into effect on January 1, 2010. Hosts: Bri Joiner and Racquel Russell; Producers: Jeff Lamoreaux and Kenneth Edward Piner.Read full story
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The Board of Directors of Great Southern Bancorp, Inc. , the holding company for Great Southern Bank, declared an $.18 per common share dividend for the fourth quarter of the calendar year ending December 31, 2009.Read full story
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Topix SEC NewsPublished: Friday, December 11, 2009 at 11:38 a.m. Last Modified: Friday, December 11, 2009 at 11:38 a.m. Accused Sarasota Ponzi schemers John and Marian Morgan have been deported from Sri Lanka and were being escorted Friday by federal law-enforcement officials on a flight to Washington D.C. The Morgans had been held in a […]
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U.S. securities regulators will continue to “vigorously pursue” charges against Bank of America Corp for allegedly misleading investors over bonuses paid to Merrill Lynch employees, a top Securities and Exchange Commission official said on Friday.Read full story
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Forget too big to fail. In the eyes of federal regulators, many Wall Street companies are too big to punish.Read full story
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Topix SEC NewsA Hamilton-area man accused of running a $14-million US Ponzi scheme has agreed to turn over money and pay a penalty following a settlement reached with the U.S. Securities and Exchange Commission.Read full story
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Topix SEC NewsIn this Nov. 17, 2009 file photo, Securities and Exchange Commission Director of Enforcement Ron Khuzami speaks during a news conference at the Justice Department in Washington.Read full story
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Topix SEC NewsA former senior IBM Corp executive denied being involved in a sprawling hedge fund insider trading case and asked a court on Wednesday to dismiss civil charges by the U.S. Securities and Exchange Commission.Read full story
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It wasn’t too long ago big-time hedge fund managers like James Pallotta were erecting monuments to themselves.Read full story
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Forget too big to fail. In the eyes of federal regulators, many Wall Street companies are too big to punish.Read full story
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Topix SEC NewsU.S. securities regulators are investigating at least nine mergers, including Pfizer Inc’s takeover of Wyeth and Merck & Co Inc’s acquisition of Schering-Plough Corp, for possible insider-trading violations, the Wall Street Journal reported, citing people familiar with the matter.Read full story
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FINRA’s Chairman and CEO discusses how regulators and market participants should respond to the current financial landscape. Host: Rick Ketchum; Producers: Jeff Lamoreaux and Kenneth Edward Piner.Read full story
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Federal regulators today sued three former officers of New Century Financial Corp., accusing them of misleading investors of the Irvine subprime lender as the mortgage meltdown began in 2006.Read full story
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The Supreme Court cast doubt Monday on the validity of part of the anti-fraud law enacted in response to Enron and other corporate scandals early this decade.Read full story
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Topix SEC NewsAdamis Pharmaceuticals Corporation , announced today that it has entered into a definitive merger agreement providing for the acquisition of La Jolla Pharmaceutical Company by Adamis.Read full story
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Topix SEC NewsICT GROUP, INC. announced today that the 30-day waiting period under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 expired on December 3, 2009, with respect to its proposed acquisition by Sykes Enterprises, Incorporated.Read full story
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Topix SEC NewsThe number of Securities and Exchange Commission settlements fell for the second consecutive fiscal year, according to data released Monday.Read full story
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Revisit the latest Notices, compliance resources and news from November 2009. Hosts: Martha Mugamba and Kenneth Edward Piner. Producer: Kenneth Edward Piner.Read full story
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Topix SEC NewsSecurities and Exchange Commission Chairman Mary L. Schapiro called for the reform of 12b-1 mutual fund fees in a speech Thursday.Read full story
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Topix SEC NewsCinemark Holdings, Inc. today announced that it is filing a prospectus supplement to its existing shelf registration statement with the U.S. Securities and Exchange Commission relating to an underwritten public offering by certain affiliates of Quadrangle Capital Partners of 2,325,545 shares of its common stock.Read full story
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The former general counsel of Broadcom Corp., David Dull, avoided criminal charges in a stock options backdating case this week following claims of prosecutorial misconduct.Read full story
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Topix SEC NewsA Dallas and New Orleans-based hurricane restoration company that has been subject to numerous lawsuits since Hurricane Katrina, and several of the company’s executives, have been charged by the Securities and Exchange Commission with accounting fraud.Read full story
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Topix SEC NewsThe Securities and Exchange Commission culture that allowed the Madoff fraud scandal to go undetected for nearly two decades may notchange and the agency isn’t doing enough to support investor protection proposals in Congress, according to a top state regulator.Read full story
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On Nov. 4, a day after she turned 75, Value Line Inc. Chief Executive Jean Bernhard Buttner got a most unhappy birthday present from the federal government.Read full story
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Financial instruments such as derivatives will be the focus of Securities and Exchange Commission investigations on insider trading by hedge funds, according to Robert Khuzami , the SEC’s director of enforcement.Read full story
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Topix SEC NewsDespite Securities and Exchange Commission restrictions, a Colorado Springs businessman is seeking investment for one of his oil ventures - although this time he’s casting a much narrower net.Read full story
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But everyone should care that those in power are competent, apply the law fairly and hold themselves to the highest ethical standards.Read full story
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Topix SEC NewsFreddie Mac announced today that it plans to issue a new three-year USD Reference Notes security, CUSIP number 3137EACG2, due on January 9, 2013.Read full story
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