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
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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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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This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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Topix SEC NewsSamuel and Charles Wyly, the billionaire brothers from Dallas who are large donors to philanthropies and to conservative causes, were charged Thursday with conducting an extensive securities fraud that the Securities and Exchange Commission said reaped $550 million in undisclosed gains.Read full story
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Citigroup is to pay $75m to the US Securities and Exchange Commission to settle charges the bank misled investors about its exposure to sub-prime mortgages by more than $37bn at the start of the global financial crisis.Read full story
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Topix SEC NewsAny industry has its bad apples, and the brokerage industry is no exception. While most investment professionals are honest, there are always people who will take advantage of people when given the chance — especially when it comes to money.Read full story
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Topix SEC NewsDell has reached a settlement with the U.S. Securities and Exchange Commission over an investigation into the company\’s accounting and financial reporting practices.Read full story
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Topix SEC NewsThey were kids when the collapsed economy forced the surrender of the family cotton farm in Lake Providence, La.Read full story
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SEC News DigestRead full story
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SEC News DigestRead 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 »
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
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
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The first podcast in a two-part series on regulatory and business considerations, as highlighted in FINRA\’s 2010 annual letter to firms.Read full story
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Topix SEC NewsBP says the Securities and Exchange Commission and the Justice Department are conducting informal inquiries into securities matters arising from the Gulf oil spill.Read full story
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Topix SEC NewsBP says the Securities and Exchange Commission and the Justice Department are conducting informal inquiries into securities matters arising from the Gulf oil spill.Read full story
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Topix SEC NewsWith powerful senators watching closely, federal investigators search high and low for evidence of insider trading in shares of Microsoft.Read full story
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A botched share swap last month in which 10 times more US Bancorp shares were issued than planned, angering and confusing investors, led the NYSE on Tuesday to cancel three days of trades in the stock.Read full story
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SEC News DigestRead full story
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SEC News DigestRead 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 »
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
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act into law.Read full story
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Topix SEC NewsWhen President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act last week he was putting his approval on a controversial piece of legislation that will have a sweeping impact on the financial services industry.Read full story
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Topix SEC NewsDell , several former executives, and its founder, Michael S. Dell , agreed Thursday to pay more than $100 million in penalties to settle charges of disclosure accounting fraud filed by the Securities and Exchange Commission .Read full story
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Topix SEC NewsBoston\’s Putnam Investments, the nation\’s fifth largest mutual fund company, is a core target of the latest episode of financial scandals that has centered on the $7 trillion mutual fund industry, though it had emerged seemingly unscathed from the scandals that engulfed the rest of the financial world.Read full story
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Chief among financial advisers\’ concerns is that by pushing more fund companies and advisers away from selling C shares, the proposal, if passed in its current form, would result in fewer choices for investors and ultimately make it more difficult for small investors to gain access to advice.Read full story
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SEC News DigestRead 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 »
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
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
Topix SEC NewsChanges to mutual-fund fees that could benefit investors were approved by securities regulators on Wednesday.Read full story
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Topix SEC NewsNestled in the 2,300 pages of the new law that reshapes the U.S. financial landscape is a change affecting credit rating agencies, which were accused of helping cause the 2008 crisis.Read full story
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The Securities and Exchange Commission plans to revamp fees that most mutual funds charge to cover sales and distribution costs.Read full story
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Topix SEC NewsThe U.S. Securities and Exchange Commission gave initial approval Wednesday to a proposal to limit ongoing sales charges from mutual funds and require them to disclose that certain fees charged to investors are for marketing purposes.Read full story
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Topix SEC NewsA former syndicated talk radio host accused by the Securities and Exchange Commission of promoting a Ponzi scheme has filed a $42 million lawsuit against the Star Tribune in Minneapolis, the St.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 »
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
Filed under: FINRA News | No Comments »
This podcast describes FINRA\’s Business Continuity Planning (BCP) Template and details recent updates, including those that were made to reflect FINRA\’s BCP Rule.Read full story
Filed under: FINRA News | No Comments »
Days after Goldman Sachs agreed to pay $550 million to settle securities fraud claims, Fabrice P. Tourre , a midlevel employee of the bank, filed a 13-page reply categorically denying the charges against him and sought dismissal of the case, Louise Story of The New York Times reports .Read full story
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Topix SEC NewsThe head of the Securities and Exchange Commission is appearing before Congress days after the passage of sweeping financial regulation that gives the agency new powers and a landmark settlement of civil fraud charges with Goldman Sachs & Co.Read full story
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Topix SEC NewsOil and gas are leaking from the cap on BP\’s ruptured oil well but retired Coast Guard Adm.Read full story
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The fight over where the new securities regulator\’s office should be must not impede the end result of investor trust Boyd Erman Published on Tuesday, Jul.Read full story
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Incorporates BC-USSEC-Congress. Will be updated. This stor9 is par4 of AP\’s general news and financial services.Read full story
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SEC News DigestRead 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 »
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
Filed under: FINRA News | No Comments »
Goldman Sachs Group Inc., accused by the U.S. government of defrauding investors, is generating better returns for companies and buyers of initial public offerings than any other Wall Street firm.Read full story
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Topix SEC NewsLHC Group, Inc. , a national provider of home health and hospice, announced today that it has received a request from the Securities and Exchange Commission to preserve all documents relating to the Company\’s Medicare reimbursement practices.Read full story
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Topix SEC NewsEMBED Varney falsely claims \”this new financial regulation bill\” does not address insurance, credit-rating agencies \”at all\” Varney: Rating agencies and insurance \”are not part at all of this new financial regulation bill — not part of it at all.\” After warning that \”you never know what form the next crisis is going […]
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Topix SEC NewsSecurities regulators on Wednesday weighed whether to change voting in corporate elections, amid calls from companies to fix a system they consider broken and antiquated.Read full story
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Scraping together enough coin to win the annual luncheon auction with Warren Buffett is probably beyond the means of most investors.Read full story
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SEC News DigestRead 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 »
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
Filed under: FINRA News | No Comments »
FINRA staff discusses examples of registered representatives\’ misconduct, as featured in the July issue of FINRA\’s Quarterly Disciplinary Review.Read full story
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Topix SEC NewsA Bank of America branch in Chicago, Ill. In March, I asked Bank of America about allegations that it was manipulating its balance sheet using tactics akin to Lehman Brothers\’ \”Repo 105\” — an accounting maneuver that Lehman had used to move assets off its balance sheet and hide its risks.Read full story
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Topix SEC NewsA man whose El Segundo real estate investment firm swindled $14.5 million from investors in an illegal Ponzi scheme was sentenced Monday to 6 1/2 years in prison.Read full story
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