Any initiative that reduces investors' vulnerability to fraud, and thereby strengthens their confidence in the markets, is a step in the right direction.
State lawmakers are chipping away at securities firms' ability to monitor employee activity on social-media sites, which could cause compliance headaches for both firms and regulators.
The securities industry in California is up in arms over a bill that would ban employers from requiring employees to hand over their social media passwords.
Midsize advisory firms that haven't moved to state regulation have until Dec. 17
A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
One of the staunchest opponents of legislation that would shift regulation of investment advisers from the Securities and Exchange Commission to an industry group is declaring victory — for this year.
Expert says it might be best way to shatter ossified political positions
Finra claims brokerage failed to properly supervise ex-rep
SRO's boss shoots down regulator's test balloon in speech
Movement marks one-year anniversary today with a 'roving carnival of resistance'
The founders of Chicago investment advisory firm Advanced Equities Inc. were charged by the SEC in connection with two-private equity sales of an alternative energy company in 2009 and 2010.
Organizer claims all participants in OWS movement are unemployed; 'no value in what they have to say'
