Summary FINRA seeks comment on a revised debt research conflicts of interest proposal that reflects changes based on comments to a concept proposal discussed in Regulatory Notice 11-11. The revised...
Yet Another Journalist Rant (Part 3): What Is an Exclusive?
It seems like there’s no end to the things we do that annoy journalists and we’re now onto Part 3. (Click through to Part 1 and Part 2 here.) My journalist friend, who we now identify as “Crystal...
A Journalist Rants (Part Two): Three Things You Should Never Say to Reporters
Last week’s entry entitled, “A Journalist Rants: 5 PR Sins to Avoid” attracted considerable attention, quite a pleasant surprise I might add. My journalist friend, who I will now identify as...
A Journalist Rants: 5 PR Sins to Avoid
Recently, I was chatting with an old friend of mine. She’s a reporter by trade. Like many a scribe (I used to be one back in the Bronze Age), she was highly opinionated and began venting about the...
IR Alerts: SEC, FINRA Warn on Unauthorized Trading
The Securities and Exchange Commission released an alert to help firms prevent and detect unauthorized trading in brokerage and advisory accounts. The Risk Alert issued by the agency’s Office of...
What the Financial Press Is Buzzing About: SEC Charges China-Based Executives with Se...
The SEC charged two China-based executives with defrauding investors into believing they were investing in a Chinese coal business when in fact they were investing in an empty shell company. In the case,...
Insider Trading Alert: SEC Continues Crackdown on Expert Consulting Firms
The SEC charged John Kinnucan and his Portland, Oregon-based expert consulting firm Broadband Research Corporation with insider trading. The charges stem from the SEC’s ongoing investigation of insider...
Facebook IPO Fallout: Lack of Women Directors a Black Eye for Facebook?
As the world waits with great anticipation for Facebook’s IPO, one of the social networking company’s backers – the California State Teachers’ Retirement System (aka CalSTRS) – has taken...
An IR Perspective: Six Ways to Keep Your Board in the Loop
“Rapid” might be too understated a word to describe the pace of change in today’s world. As we all know, news spreads around the world in less than a heartbeat and swings in the financial market...
Are You Like Manning or Brady? The Super Bowl and Six Lessons in Leadership
With Super Bowl XLVI in the books, I had the chance to reflect on the game as well as the Giants season in general (in the spirit of full disclosure, I am a longtime Giants fan stretching back to the days...
The SEC Speaks Up on Social Media: Issues Pronouncement on Its Use by Investment Advi...
Acknowledging that the use of social media by the financial services industry is rapidly accelerating, the SEC recently issued its observations following its review of the matter. In its pronouncement,...
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