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FINRA 2009-10-19: Quarterly Disciplinary Review - October 2009 Issue

Posted on March 29th, 2010 by

FINRA staff discuss examples of registered representatives\’ misconduct, as featured in the October issue of FINRA\’s Quarterly Disciplinary Review.Read full story

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FINRA 2009-12-21: Pandemic Preparedness - Part II

Posted on March 29th, 2010 by

The second podcast in a two-part series on pandemic preparedness offers suggestions for addressing the top three challenges firms expect during pandemics.Read full story

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FINRA 2009-12-28: TRACE Expansion

Posted on March 29th, 2010 by

FINRA staff discuss amendments to rules that govern TRACE, the Trade Reporting and Compliance Engine.Read full story

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FINRA 2010-01-05: FINRA December 2009 Monthly Recap

Posted on March 29th, 2010 by

Revisit the latest Notices, compliance resources and news from December 2009. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-01-11: What to Expect: Filing a Change in Membership Application

Posted on March 29th, 2010 by

This podcast, the audio version of a FINRA webcast, focuses on the process for filing Continuing Membership Applications. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-01-19: Quarterly Disciplinary Review - January 2010 Issue

Posted on March 29th, 2010 by

FINRA staff discuss examples of registered representatives\’ misconduct, as featured in the January issue of FINRA\’s Quarterly Disciplinary Review. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-01-25: FINRA Rulebook Consolidation

Posted on March 29th, 2010 by

FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of February. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-02-01: January 2010 Monthly Recap

Posted on March 29th, 2010 by

Revisit the latest FINRA Notices, compliance resources and news from January 2010. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-02-08: Social Networking

Posted on March 29th, 2010 by

Guidance on firms\’ use of blogs and social networking sites for business communications. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-02-16: What to Expect: The U4 and U5 Filing Process

Posted on March 29th, 2010 by

This podcast focuses on the process for submitting Form U4 and Form U5 filings. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-02-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part I

Posted on March 29th, 2010 by

FINRA staff provide background on variable life settlements and transactions in related investment products, and discuss some requirements and potential risks. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-03-01: February 2010 Monthly Recap

Posted on March 29th, 2010 by

Revisit the latest FINRA Notices, compliance resources and news from February 2010. This podcast produced by FINRA Industry Education. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-03-08: Reverse Convertibles

Posted on March 29th, 2010 by

Guidance on sales practice obligations related to reverse convertibles. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-03-15: Rick Ketchum\’s 2010 Fixed Income Conference Keynote Address

Posted on March 29th, 2010 by

FINRA Chairman and CEO Rick Ketchum discusses developments in the debt markets and highlights FINRA\’s regulatory priorities. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-03-22: Variable Life Settlements and Transactions in Related Investment Products - Your Firm\’s Obligations - Part II

Posted on March 29th, 2010 by

Part II of this series focuses on issues related to communications with the public, fees and commissions, and other transaction types. Learn more at http://www.finra.org/education.Read full story

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FINRA 2010-03-22: Rulebook Consolidation - April

Posted on March 29th, 2010 by

FINRA staff introduce new FINRA rules for the consolidated rulebook that go into effect during the month of April. Learn more at http://www.finra.org/education.Read full story

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3 plead not guilty in Bernie Madoff Ponzi scam

Posted on March 29th, 2010 by

A former executive with disgraced financier Bernard Madoff\’s investment firm and two other ex-employees pleaded not guilty on Thursday to charges that they were in on his massive Ponzi scheme.Read full story

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Bachus Seeks Fed, Sec E-Mails in Examination of Lehman Collapse

Posted on March 29th, 2010 by

Topix SEC NewsU.S. Representative Spencer Bachus wants to review communications between the Federal Reserve and the Securities and Exchange Commission about Lehman Brothers Holdings Inc.Read full story

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Daimler agrees to $185M settlement in bribery case

Posted on March 29th, 2010 by

Following bribery and falsifying record charges that were filed against the company on Tuesday, Daimler has agreed to a $185 million settlement with the United State Justice Department and Securities and Exchange Commission.Read full story

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UBS Director Poteroba Charged in U.S. for Insider Trading Using Coded Tips

Posted on March 29th, 2010 by

UBS AG investment banker Igor Poteroba was arrested and accused of leaking merger tips to two friends, reaping almost $1 million in a scheme that used code words such as a oefrequent flyer milesa and references to a Macya s wedding registry.Read full story

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Feds launch criminal probe into CalPERS investment activities

Posted on March 29th, 2010 by

Federal prosecutors have started a criminal investigation into the investment activities of the California Public Employees Retirement System, a newspaper reported Friday.Read full story

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December 15, 2009, issue

Posted on March 29th, 2010 by

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March 2010
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