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 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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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 staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The second podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The Securities and Exchange Commission is paying $755,000 to settle a lawsuit with a former staff lawyer who accused the agency of blocking his investigation of a prominent hedge fund.Read full story
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A suburban Philadelphia man described by authorities as a \”securities fraud recidivist\” ran a $16 million Ponzi scheme through several business entities and hedge funds he controlled, federal regulators said in a complaint filed Tuesday.Read full story
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A Montreal couple faces allegations that they orchestrated a penny stock scam on the Internet after the United States Securities and Exchange Commission obtained an emergency asset freeze.Read full story
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Topix SEC NewsFederal regulators said on Tuesday that Veraz Networks Inc. has agreed to pay $300,000 in connection with settlement of charges that its representatives paid bribes to win business in China and Vietnam.Read full story
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An experimental circuit breaker for stock markets that was put in place after last month\’s so-called flash crash kicked in for the second time on Tuesday after an erroneous trade caused a sudden plunge in the price of Citigroup shares.Read full story
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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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
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The final podcast in a three-part series on FINRA\’s updated AML template that guides firms through the process of setting up AML compliance and supervisory procedures.Read full story
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Topix SEC NewsFinance Minister Korn Chatikavanij has questioned the motives behind a house subcommittee investigation into the Thaicom stock scandal.Read full story
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We\’re sorry. Your computer must be equipped with a browser capable of rendering HTML 4.01 and running JavaScript.Read full story
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U.S. regulators said Tuesday they have made \”significant progress\” investigating the May 6 market free fall but offered no sign they are getting close to pinpointing what caused the unprecedented slump.Read full story
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Regulators say they\’re on high alert for companies trying to take advantage of the Gulf of Mexico oil spill cleanup to mislead investors.Read full story
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Using its stock as currency, Lenco Mobile Inc. has spent the past few years snapping up cell phone and Internet marketing companies.Read full story
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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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
Filed under: FINRA News | No Comments »
The first podcast in a two-part series on FINRA\’s 2010 examination priorities, as addressed in FINRA\’s annual letter to firms.Read full story
Filed under: FINRA News | No Comments »
Three erroneous orders in Washington Post Co. shares briefly caused the stock to double, making it the first U.S. company to be halted by circuit breakers imposed following the May 6 crash that erased $862 billion from equities in 20 minutes.Read full story
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Congressional leaders began their second day of work on resolving their differences in a sweeping bank reform package Wednesday, as Democratic lawmakers on both sides of the conference agreed to allow the Securities and Exchange Commission to fund itself through fees it collects from corporations.Read full story
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New York property-casualty insurer The Travelers Cos., with major operations in Hartford, has signed a new, $1 billion credit agreement with a syndicate of lenders, a regulatory filing shows.Read full story
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On the heels of the turmoil caused by the financial crisis, regulators are proposing new rules governing how target-date funds are named and marketed.Read full story
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Topix SEC NewsLee Farkas, the man who once ran America\’s largest non-depository mortgage lender, has been accused of masterminding a $1.9bn mortgage fraud that in part targeted the US government\’s $700bn bail-out fund.Read full story
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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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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Could there be big changes be ahead for PBSJ, SRI/Surgical Express and a handful of other Bay area corporate stalwarts? Key Securities and Exchange Commission filings could be signs that somethinga s brewing at the firms.Read full story
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Topix SEC NewsNEW YORK/MONTREAL: US securities regulators are hunting for fresh dirt on Goldman Sachs Group Inc, hoping to bolster their lawsuit against the bank and perhaps force it to settle on terms more to the regulators\’ liking.Read full story
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For nearly a decade, Julie Preuitt told her colleagues at the Securities and Exchange Commission\’s Fort Worth office that she had found problems at a fabulously successful investment firm in Houston, saying its unmatched returns were likely the result of fraud.Read full story
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Topix SEC NewsThe Tribune-Review obtained all data for this story on executive compensation from each company\’s proxy statement, filed with the Securities and Exchange Commission.Read full story
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Close Dow Jones Reprints: This copy is for your personal, non-commercial use only.Read full story
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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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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FINRA introduces three new SEC-approved FINRA rules for the consolidated rulebook that go into effect on June 14, 2010.Read full story
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Topix SEC NewsGoldman Sachs Group Inc. is being a oelegitimately scrutinizeda by regulators who sued the firm for fraud based on conduct that many in the industry consider to be common practice, according to a Bloomberg survey.Read full story
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In a late earnings report filing, NASB Financial Inc. said Monday that it earned $1.3 million, or 17 cents a share, during the fourth quarter.Read full story
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Topix SEC NewsIn filings with the U.S. Securities and Exchange Commission today, General Motors gave insight into what kind of stock awards its senior management has been given for post-bankruptcy work.Read full story
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China Mobile Limited announced today that it has filed its Annual Report on Form 20-F for the year ended December 31, 2009 with the U.S. Securities and Exchange Commission.Read full story
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Topix SEC NewsGoldman Sachs\’ CEO defends the investment bank during a congressional grilling. Goldman Sachs tried to hide potentially embarrassing information and sidetrack a bipartisan congressional investigation into the causes of the worst recession since the 1930s, the Financial Crisis Inquiry Commission said Monday.Read full story
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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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
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
Filed under: FINRA News | No Comments »
FINRA staff discuss compliance education and training options that FINRA makes available to the industry.Read full story
Filed under: FINRA News | No Comments »
FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.Read full story
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Revisit the latest FINRA Notices, compliance resources and news from May 2010.Read full story
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Topix SEC NewsThe Securities and Exchange Commission is pursuing fraud charges against three former executives of ATM maker Diebold Inc.Read full story
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The former chief of teleconferencing services company ClearOne Communications Inc.Read full story
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The state Assembly passed a bill Wednesday that would limit the influence of people hired by money management firms to win business from the state\’s public pension funds.Read full story
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Topix SEC NewsThe chairman of a panel examining the financial crisis said Wednesday that he backs a controversial provision included in a Senate-approved bank-reform bill to create a government clearinghouse, through which credit raters would be assigned to handle structured-finance products.Read full story
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Topix SEC NewsThe television ratings and consumer research company Nielsen says it plans to raise up to $1.75 billion in an initial public offering of common stock.Read full story
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