Look Who's Lobbying for FINRA
Submitted by John Lounsbury on Wed, 03/23/2011 - 10:35Michael Oxley, the former Republican congressman from Ohio and the Oxley in Sarbanes-Oxley, registered last week as a lobbyist for FINRA (Financial Industry Regulatory Agency).
Great Day for Goldman
Submitted by John Lounsbury on Fri, 07/16/2010 - 15:57Goldman Sachs (GS) and the SEC (Securities and Exchange Commission) have announced a settlement of the suit over the Abacus security case which was a civil action charging fraud by G
Circuit Breakers: Worthwhile, But How Worthy?
Submitted by John Lounsbury on Mon, 05/24/2010 - 10:38FINRA (Financial Industry Regulatory Authority) and the SEC (Securities and Exchange Commission) have proposed a new circuit breaker, according to Eric Rosenbaum at Tags:
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Does Pellegrini Undercut the SEC Case Against Goldman?
Submitted by John Lounsbury on Fri, 04/23/2010 - 09:36The testimony of former Paulson & Company executive Paolo Pellegrini has undercut the SEC case against Goldman Sachs (GS), according to Jeff Cox at Tags:
KPMG's SEC Reporting & Compliance Course
Submitted by RoyEscosar on Mon, 09/28/2009 - 10:06On September 21-22, 2009, KPMG sponsored an executive education titled SEC Reporting & Compliance Course held in Las Vegas, Nevada.
