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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AMERICAN business people of a conservative nature have been dreaming about driving a stake through the heart of the Sarbanes-Oxley act ever since the legislation was passed, back in 2002, in the wake of the Enron, Tyco, WorldCom and Global Crossing scandals.Read full story
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Topix SEC NewsShares of Citigroup Inc. triggered alarm across Wall Street this week when an erroneous trade sent the banking giant\’s stock down 17 percent, activating the U.S. Securities and Exchange Commission\’s two-week old circuit breaker.Read full story
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On the eve of a critical Congressional vote last week on a sweeping measure to regulate Wall Street, the prominent lobbyist Tony Podesta met with one of the lawmakers to go over some final language and discuss the effect it could have on his many corporate clients.Read full story
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Topix SEC NewsHigh unemployment, an economy still reeling from the Great Recession and continued public outcry over multimillion-dollar CEO pay combined to make 2009 a year in which many executives saw their compensation packages reduced.Read full story
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Neogenix Oncology announced today that its registration statement on Form 10 as amended, filed with the Securities and Exchange Commission to register its common stock pursuant to Section 12 of the Securities Exchange Act of 1934, has become effective.Read full story
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SEC News DigestRead full story
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