National Association of Securities Dealers

Type: Organization
Name: National Association of Securities Dealers
First reported Apr 17 2014 - Updated Apr 17 2014 - 1 reports

N60b unclaimed dividends at risk

Shareholders are alarmed about the possibility of the federal government appropriating all unclaimed dividends, currently estimated at about N60 billion. Dividend warrants belonging to deceased individuals are especially at risk. BUKKY OLAJIDE reports ... [Published The Guardian Nigeria - Apr 17 2014]
First reported Apr 16 2014 - Updated Apr 16 2014 - 1 reports

SEC Clears Appeal on R. Allen Stanford Fraud

By DAVID LEE(CN) - Victims of a $7 billion Ponzi scheme failed to show that federal regulators dropped the ball in not catching R. Allen Stanford earlier, the 5th Circuit ruled.Investors in the Stanford International Bank Ltd. sued the Securities and ... [Published Courthouse News Service - Apr 16 2014]
First reported Apr 15 2014 - Updated Apr 15 2014 - 1 reports

SEPLAT Becomes First Oil Firm Listed On Stocks Market

Lagos — Seplat Petroleum Development Company Plc, yesterday, became the first indigenous Nigeria crude oil production company to be listed simultaneously on the Nigerian Stock Exchange (NSE) and London Stock Exchange (LSE).This development occurred just ... [Published AllAfrica.com - Apr 15 2014]
First reported Apr 10 2014 - Updated Apr 10 2014 - 1 reports

2U, Inc. Files SEC Form CERTNAS, Certification By The National Association of Securities Dealers Automated Quotation Approving Securities For Listing...

2U, Inc. Files SEC Form CERTNAS, Certification By The National Association of Securities Dealers Automated Quotation Approving Securities For Listing ( Mar. 27, 2014 )By a News Reporter-Staff News Editor at Computer Weekly News -- According to news reporting ... [Published HispanicBusiness.com - Apr 10 2014]
First reported Apr 06 2014 - Updated Apr 06 2014 - 2 reports

All The Presidents' Bankers: The Hidden Alliances That Drive American Power

The following is an excerpt from ALL THE PRESIDENTS’ BANKERS: The Hidden Alliances that Drive American Power by Nomi Prins (on sale April 8, 2014).  Reprinted with permission from Nation Books. Nomi Prins is a former managing director at Goldman Sach ... [Published Zero Hedge - Apr 06 2014]
First reported Apr 04 2014 - Updated Apr 05 2014 - 1 reports

Holmdel brokerage owner pays SEC $1.9M to settle charges he manipulated stock market

The owner of a Holmdel-based brokerage firm has agreed to pay more than $1.9 million to settle charges that he manipulated the stock market, regulators said Friday.Joseph Dondero, co-owner of Visionary Trading LLC, was one of five people in a U.S. Securities ... [Published Asbury Park Press - Apr 04 2014]
First reported Mar 31 2014 - Updated Mar 31 2014 - 1 reports

Can CMC Transform Nigerian Market To Global Giant Amid Challenges?

L-R: Mrs Nimi Akinkugbe, chief executive officer, Bestman Games; Ms Arunma Oteh, director general, Securities and Exchange Commission; Mr Garuba Zakawanu, executive commissioner, Corporate Services, SEC, and Sa’Adatu Bello, executive commissioner, Legal ... [Published Business World Intelligence - Mar 31 2014]
First reported Mar 25 2014 - Updated Mar 25 2014 - 1 reports

SEC Approves New FINRA Supervision Rules

The current rulebook of the Financial Industry Regulatory Authority consists of FINRA rules, legacy National Association of Securities Dealers (NASD) rules (that apply to all FINRA member firms) and rules incorporated from the New York Stock Exchange ... [Published JD Supra - Mar 25 2014]
First reported Mar 25 2014 - Updated Mar 25 2014 - 2 reports

Tom R. Wagner Named EVP and Manager of Pacific Mercantile Bank's Northern Division

"We are very excited to have Tom leading our commercial lending activities in our Northern Division," said Steven K. Buster, President & CEO of Pacific Mercantile Bank. "Tom has been a high performing banker throughout his career with a proven track record ... [Published Morningstar.com - Mar 25 2014]
First reported Mar 24 2014 - Updated Mar 24 2014 - 1 reports

Nabors mourns loss of former CEO

Nabors Industries Ltd. announced that former Chairman and CEO Eugene Isenberg (pictured) passed away on 16 Mar. Isenberg served as chairman of the board of directors and CEO from 1987 until late 2011. During his 25-year tenure, Isenberg grew Nabors from ... [Published Oil Online - Mar 24 2014]
First reported Mar 18 2014 - Updated Mar 19 2014 - 3 reports

Former Nabors chief Eugene Isenberg dies

HOUSTON — Eugene Isenberg, who stepped down from his long-held posts as chairman and CEO of Nabors Industries in 2011 , died Sunday.Isenberg became chiarman and chief executive officer in 1987, when the company was an Alaska-based driller with 320 employees ... [Published Fuel Fix - Mar 18 2014]
First reported Mar 14 2014 - Updated Mar 14 2014 - 1 reports

Personal Finance Word of the Day: FINRA

Word of the day: FINRAFINRA, which stands for Financial Industry Regulatory Authority , is a regulatory body created after the merger of the National Association of Securities Dealers and the New York Stock Exchange’s regulation committee.The Financial ... [Published Black Enterprise - Mar 14 2014]

Quotes

"Had Barasch not done as he did, none of the plaintiffs would or even could have invested with SIBL - its' doors would have been shut - and the damages suffered by the plaintiffs would have been completely avoided" according to their complaint
On his part, Minister of Trade and Investment, Olusegun Aganga, urged others companies to emulate Seplat, saying: "What they did is not easy in anyway, listing in local and London bourse. What is significant about this is wealth creation and creating a new consumer growth."
...Tellingly, he suggested he was only doing what everyone else was doing. "I did my work as an analyst within a widely understood framework consistent with industry practice that is now being extensively second-guessed." If that's the case, there is likely to be a lot more trouble ahead
...differ from those described in the forward-looking statements, please refer to the factors set forth under the headings "Risk Factors" and "Management's Discussion and Analysis of Financial Condition and Results of Operations" in our most recent Form 10-K and 10-Q reports and to our most recent Form 8-K reports, which are available online at www.sec.gov...

More Content

All (43) | News (33) | Reports (0) | Blogs (3) | Audio/Video (0) | Fact Sheets (5) | Press Releases (2)
sort by: Date | Relevance
N60b unclaimed dividends at risk [Published The Guardian Nigeria - Apr 17 2014]
SEC Clears Appeal on R. Allen Stanford Fraud [Published Courthouse News Service - Apr 16 2014]
BR Stanford investors lose appeal against regul... [Published The Advocate - Apr 16 2014]
TriVascular Technologies, Inc. (0001432732) [Published SEC - Apr 15 2014]
SEPLAT Becomes First Oil Firm Listed On Stocks ... [Published AllAfrica.com - Apr 15 2014]
2U, Inc. Files SEC Form CERTNAS, Certification ... [Published HispanicBusiness.com - Apr 10 2014]
Borden, Thomas W. [Published San Jose Mercury News - Apr 09 2014]
Addressing The High Frequency Trading Debate [Published FNArena - Apr 09 2014]
General Electric Capital Corporation Bonds: Big... [Published Seeking Alpha - Apr 08 2014]
All The Presidents' Bankers: The Hidden Allianc... [Published Zero Hedge - Apr 06 2014]
All The Presidents' Bankers: The Hidden Allianc... [Published Zero Hedge - Apr 06 2014]
Holmdel brokerage owner pays SEC $1.9M to settl... [Published Asbury Park Press - Apr 04 2014]
The 20 Best Value Bond Trades With Maturities O... [Published Seeking Alpha - Apr 01 2014]
Can CMC Transform Nigerian Market To Global Gi... [Published Business World Intelligence - Mar 31 2014]
SEC charges L&L over management representations [Published Economia - Mar 28 2014]
The whores of Wall Street [Published Guardian.co.uk - Mar 26 2014]
SEC Approves New FINRA Supervision Rules [Published JD Supra - Mar 25 2014]
Tom R. Wagner Named EVP and Manager of Pacific ... [Published Morningstar.com - Mar 25 2014]
Tom R. Wagner Named EVP and Manager of Pacific ... [Published Reuters - Mar 25 2014]
Nabors mourns loss of former CEO [Published Oil Online - Mar 24 2014]
The 20 Best Value Bond Trades With Maturities O... [Published Seeking Alpha - Mar 19 2014]
Fort Hill Hall of Fame inductees honored [Published Cumberland Times-News - Mar 19 2014]
Former Nabors chief Eugene Isenberg dies [Published Fuel Fix - Mar 18 2014]
Nabors Mourns the Loss of Former Chairman and C... [Published Digital Journal - Mar 18 2014]
Nabors Mourns the Loss of Former Chairman and C... [Published 4 Traders - Mar 18 2014]
Nelsen, Robert George [Published Daytona Beach News Journal - Mar 16 2014]
Personal Finance Word of the Day: FINRA [Published Black Enterprise - Mar 14 2014]
Don't Let Brokers Keep Watch on Themselves [Published Bloomberg - Mar 13 2014]
SEC Issues FAQs on Financial Responsibility Rules [Published JD Supra - Mar 12 2014]
The 20 Best Value Bond Trades Of 20 Years Matur... [Published Seeking Alpha - Mar 12 2014]
1 2
In Focus
  •  
  •  
  •  
  •  
  •  
  •  
  •  
  •  
  •  
Content Volume
Document Volume
Network
Network

Blogs

sort by: Date | Relevance
All The Presidents' Bankers: The Hidden Allianc... [Published Zero Hedge - Apr 06 2014]
The following is an excerpt from ALL THE PRESIDENTS’ BANKERS: The Hidden Alliances that Drive American Power by Nomi Prins (on sale April 8, 2014).  Reprinted with permission from Nation Books. Nomi Prins is a former managing director at Goldman Sachs. ...
The best investment advice you’ll never get [Published The Big Picture Blog - Feb 21 2014]
When I first saw this online, I grabbed a copy for my own use. Recently, I went back to reread part of it — and it was gone! Lucky I captured this before it disappeared. Enjoy. ~~~ The best investment advice you’ll never get By Mark Dowie San Francisco ...
Margin Debt Soars To New Record; Investor Net W... [Published Zero Hedge - Nov 26 2013]
The correlation between stock prices and margin debt continues to rise (to new records of exuberant "Fed's got our backs" hope) as NYSE member margin balances surge to new record highs. Relative to the NYSE Composite, this is the most "leveraged' investors ...
1

Press Releases

sort by: Date | Relevance
Stephen Luparello Named as Director of SEC’s Di... [Published SEC US Press Releases - Feb 20 2014]
Division of Trading And Markets Acting Director... [Published SEC US Press Releases - Feb 20 2014]
1
Contact Us
Sales
Support


Freebase CC-BY Some image thumbnails are sourced from Freebase, licensed under CC-BY

Copyright (C) 2014 Silobreaker Ltd. All rights reserved.
The selection and placement of stories and images on any Silobreaker page are determined automatically by a computer program.
The time or date displayed reflects when an article was added to or updated in Silobreaker.