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.
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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.
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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.
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FINRA staff discuss compliance education and training options that FINRA makes available to the industry.
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FINRA Chairman and CEO Rick Ketchum discusses how FINRA is responding to current issues facing both the industry and investors.
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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.
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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.
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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.
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Current and former executives of credit rating agencies are sworn in during a hearing before the House Oversight and Government Reform Committee on Capitol Hill on Oct.
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The U.S. Securities and Exchange Commission is examining whether high-speed traders helped destabilize equity markets during the May 6 crash by repeatedly placing and canceling orders in an attempt to manipulate share prices, a person with direct knowledge of the inquiry said.
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General Motors Co. won\’t send its executives on a worldwide tour, aimed at convincing potential investors to buy its stock, until after the Nov.
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The company faces $25,000 in financial penalties. The US Securities and Exchange Commission has charged Pinnacle Capital Markets with failing to comply with an anti-money laundering rule.
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Despite the summer lull, Korea Development Bank prints well inside its existing curve, prompting a tightening of Korean policy bank sector bonds by 5bp to 10bp.
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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.
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This podcast focuses on requirements for verifying customer instructions to transmit or withdraw their assets.
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The Securities and Exchange Commission has charged two former senior accounting professionals at headphone maker Koss Corp.
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Proposed new U.S. regulations could cost mutual fund companies hundreds of millions of dollars in distribution fees they split with partners.
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Investors who lost money when Bank of America Corp. bought Merrill Lynch without disclosing Merrill\’s problems can start applying to tap a $150 million compensation fund.
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The Securities and Exchange Commission on Wednesday sued Stephen Goldfield, the former manager of hedge fund firm Imperium Advisors, alleging he made almost $14 million illegally trading on inside information.
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Yahoo Inc. is about to lose one of its search advertising partners in South Korea as the Internet company prepares to convert to Microsoft Corp.\’s technology.
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SEC News Digest
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SEC News Digest
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SEC News Digest
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SEC News Digest
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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 »
Angelo Mozilo, founder and former CEO, Countrywide Financial Corporation, stands at the witness table before the start of a House Oversight and Government Reform hearing on Capitol Hill March 7, 2008 in Washington, D.C. WASHINGTON a \’ The government says former Countrywide CEO Angelo Mozilo personally approved mortgages for favored borrowers that …
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Federal regulators say two Spanish investors made illegal profits of $1.1 million by trading on secret information about BHP Billiton PLC\’s bid to acquire Potash Corp.
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Federal regulators say former Countrywide CEO Angelo Mozilo personally approved mortgages for favored borrowers that violated the company\’s policies and lending standards.
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Federal regulators are moving to make it easier for shareholders to nominate directors of public companies, a major change long sought by investor advocates and buttressed by the new financial overhaul law.
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AOL just got the official SEC thumbs up to withhold information about its search deal with Google.
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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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Amendments to FINRA rules related to BrokerCheck, an online investor tool for researching the professional backgrounds of firms and brokers.
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Jon in Tacoma has been thinking that commodity funds might diversify his portfolio in these tough economic times, putting him into hard assets or real assets that are not a part of the standard mutual fund.
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The billionaire Wyly brothers of Dallas have broken their silence about the massive securities fraud suit against them, and they\’re taking a defiant tone.
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Michael T. Duke, CEO of Wal-Mart Stores Inc., was the highest-paid public company executive in Arkansas in the most recent fiscal year.
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Cerberus ABP Investors, an affiliate of Cerberus Capital Management, has announced in a July 22 filing with the Securities and Exchange Commission that it intends to make a tender offer for all of the outstanding publicly held shares of BlueLinx Holdings Inc.
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Bryan A. Scott, President and CEO of Metiscan, Inc., commented, \”Our SEC Counsel has advised us that our Registration Statement on Form S-1 was filed with the SEC and that the review and comment period has begun.
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SEC News Digest
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SEC News Digest
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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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FINRA guidance on consolidated account reports,including applicable rules and other considerations.
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Johnson & Johnson disclosed Wednesday that the health products giant has now received multiple subpoenas from federal prosecutors related to repeated recalls of Tylenol and other consumer health products.
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The world\’s largest pharmaceutical companies are facing a corruption investigation in the United States over claims that the hospitality lavished on those who prescribe their treatments could constitute bribery.
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New York hedge fund manager Eric Rosenfeld has been classed among the nation\’s \”wolf pack\” of activist shareholders.
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The Justice Department\’s unprecedented campaign to enforce a once-backwater statute called the Foreign Corrupt Practices Act, or FCPA, has made corporate lawyers and accountants rich as big companies pay big law and accounting firms to investigate and defend potential violations.
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Tesla Motors \”founder\” Elon Musk has a propensity for boasting about his electric car business, but the company\’s latest SEC filing shares the risks he doesn\’t like to talk about, including having the Roadster\’s advertised range cut 30%. Musk, now the CEO of a publicly traded company, has turned doubt about Tesla \’s viability into a badge of honor, …
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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 »
MCSi\’s former chief executive officer pleaded guilty in United States District Court in Cincinnati to conspiracy, securities fraud and money laundering for improperly reporting company revenues as part of a scheme to inflate the companya s stock price, according to a report in the Dayton Business Journal.
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Fund industry observers are lobbing new criticism at regulators\’ recent efforts to limit mutual-fund sales fees, already under fire for being too weak.
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New York City American Apparel has informed the Securities and Exchange Commission that it will miss its filing deadline.
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CVB Financial Corp. Chief Financial Officer Edward Biebrich postponed his retirement to help the California bank deal with a Securities and Exchange Commission investigation.
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The Securities and Exchange Commission has had a rough decade. The scandals that ensnared companies including Enron, MCI, and Adelphia-which led to the demise of the accounting Arthur Andersen - resulted in the Sarbanes-Oxley Act of 2002.
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SEC News Digest
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SEC News Digest
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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 »