May 22, 2012

Morgan Stanley refutes 'regulatory concerns' over Facebook IPO

By Bloomberg

Morgan Stanley (MS) defended its role in Facebook Inc. (FB)’s initial public offering after a Massachusetts regulator subpoenaed the bank over talks between an analyst and investors about the social media company’s revenue outlook.

• investment strategies,
• investments

May 22, 2012

Private markets lose their Facebook cash cow

By Andrew Osterland

Social-networking giant accounted for huge chunk of trading volume on nonpublic exchanges

• markets

May 22, 2012

Chart of the day: 10-Year Treasuries vs. S&P stocks

By Mark Bruno

The Bespoke Investment Group's "Think Big" blog posted this chart last night - one of the most interesting we've seen in a while.

• bonds / fixed income,
• investments,
• treasury bonds

May 22, 2012

NASAA head bashes SRO idea — in Finra's den

By Mark Schoeff Jr.

At regulator's conference, Herstein criticizes move to take oversight away from states; 'sovereign obligation'

• registered investment advisers (RIA)

May 22, 2012

Client churn a royal pain? Seek a niche

May 22, 2012

Finra looking into Facebook trading snafu

By Bruce Kelly

Regulator assisting Nasdaq with investigation; orders not executed properly for 19 minutes on Friday

• Financial Industry Regulatory Authority (FINRA),
• National Association of Independent Broker Dealers Inc.,
• social media,
• technology

May 22, 2012

Top tweets from Finra's annual conference

InvestmentNews' Jim Pavia, editor, and Bruce Kelly, brokerage reporter, have been tweeting from Finra's annual conference held in Washington, D.C. Here are some of the highlights: Finra panel: avoid investment product specific discussions in social media ...

• Financial Industry Regulatory Authority (FINRA)

May 22, 2012

Live updates about broker-dealers from Finra's annual conference

Follow along with InvestmentNews brokerage reporter Bruce Kelly, who is tweeting about news and trends impacting independent broker-dealers from Finra's annual conference in Washington, D.C.@newsfromIN...

• Financial Industry Regulatory Authority (FINRA),
• independent broker-dealers

May 22, 2012

Live updates about social media from Finra's annual conference

Follow along with InvestmentNews editor Jim Pavia, who is tweeting about social media trends from Finra's annual conference in Washington, D.C.Janney's biggest investment in social media is public relations...their advisers are not using social...

• Financial Industry Regulatory Authority (FINRA),
• social media

May 22, 2012

Ex-employee sues JPMorgan over trading loss

Claims bank retirement plan took a hit as a result of alleged misstatements

• JPMorgan Chase & Co.