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 »
Topix SEC NewsConverge Global, Inc. , today issued the following statement regarding the U.S. Securities and Exchange Commission\’s allegations that PennyStockChaser.com engaged in fraudulent stock promotional activities.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsA prosecutor best known for putting terrorists behind bars is about to take on one of the biggest challenges of his career - proving Goldman Sachs committed fraud.Read full story
Filed under: SEC News | No Comments »
Topix SEC NewsThe U.S. Court of Appeals for the Second Circuit has issued an opinion giving attorneys and law firms significant protections from claims that they are liable as \”secondary actors\” for false statements they allegedly created for use in their client\’s public offering documents.Read full story
Filed under: SEC News | No Comments »
Pop quiz: Name the person who doesn\’t belong in the category of Tough Lady Sheriffs Who Scare the Bejesus Out of Wall Street.Read full story
Filed under: SEC News | No Comments »
Earlier this year, Helix Energy Solutions Group, Inc. announced the engagement of advisors to evaluate strategic alternatives for a potential divestment of its oil and gas business.Read full story
Filed under: SEC News | No Comments »