Review reveals internal marketing materials drew regulator's attention; this year, sales to seniors, private placements on the radar
Selling away is one area where Finra is likely to bring more cases, said Jim Shorris, executive director of enforcement at the regulator
How could a jury convict three ex-traders for selling, and three former executives of a day-trading firm for buying, real-time access to the firm's internal intercoms?
A full decade after first proposing to revamp form ADV Part 2, the Securities and Exchange Commission is set to approve revisions to this key disclosure document this week
'We expect to move forward quickly,' says Robert Cook, director of the division of trading and markets'; single standard of care ahead?
Congress sent the Dodd-Frank legislation to President Barack Obama Thursday.
Deputy Treasury Secretary Neal Wolin said the reforms would ensure that markets are “creative, competitive … and far less prone to panic and collapse.”
The sweeping financial-regulatory-reform legislation that President Barack Obama will sign this week represents anything but closure for Wall Street.
The Securities and Exchange Commission is close to proposing upgrades to Part 2 of the Form ADV, the primary disclosure document that clients receive from investment advisers.
Just how out-of-touch can Lloyd Blankfein be?
Fixed-income fund managers likely will face heightened margin requirements when trading privately negotiated derivatives under the new financial services reform bill.
Broker-dealers are in favor of several proxy proposals that urge the Financial Industry Regulatory Authority Inc. to become more transparent, but they doubt Finra will implement any of the ideas even if a majority of members approve them.
Congressional negotiators today approved the most sweeping overhaul of U.S. financial regulation since the Great Depression, reshaping oversight of Wall Street.
The Labor Department today issued much anticipated fee disclosure rules for providers of services to employee pension benefit plans.
After spending the July 4 recess studying the 2,300-page overhaul measure, Sens. Scott Brown, R-Mass., and Olympia Snowe, R-Maine, announced yesterday that they will support the bill.
A bankruptcy filing in the U.K. by the embattled BP would likely leave U.S. taxpayers holding the bag. No wonder a White House officials dubs such a scenario a 'horror.'
Forget new regulations -- just dangle a bigger bone in front of Wall Street watchdogs
The groups also claim the Labor Department is stepping outside the bounds of ERISA by claiming the authority to define what investments are appropriate for plans
Crawford says legislation gives states a voice on oversight council
