A former district director of Finra's New York office has filed an age discrimination suit against the regulator, Reuters reported last week
The SEC conducted a flawed analysis to justify a $556.8 million lease for office space that turned out was largely unneeded.
David Becker, who quit as Securities and Exchange Commission general counsel before he was sued over inherited profits from Bernard Madoff's fraud, has rejoined the law firm where he worked before taking the SEC post.
Former PM at New Star Asset Management suing fund firm's boss; 'angry, antagonistic and unpleasant'
White paper by Georgetown professor will broaden — and stir up — discussion, TD Ameritrade's Bradley predicts
Set-up is purportedly simpler, fairer and will lower everyone's taxes; it fails on all three counts
UBS AG, Switzerland's biggest bank, will pay $12 million to resolve Financial Industry Regulatory Authority claims that a brokerage unit allowed millions of short-sale orders to be placed without reasonable grounds to believe that the securities could be delivered.
The following is an edited version of a speech given by Richard G. Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority Inc., Oct. 13 at the Security Traders Association's annual conference in Palm Beach, Fla.
State regulators and compliance experts are at odds about whether the states will be ready to take over regulatory responsibility for thousands of small investment advisers in March, some compliance experts said
SEC Commissioner Elisse Walter picked a tough crowd before which to try to drum up support for a draft SRO bill for investment advisers proposed by House Financial Services Committee Chairman Spencer Bachus.
A draft of a bill that would establish a self-regulatory organization for investment advisers was released today by House Financial Services Committee Chairman Spencer Bachus, R-Ala., in advance of Tuesday's hearing by the House Capital Markets Subcommittee.
Shorris signs on with indie B-D; 'invaluable addition'
Onetime Barron's hotshot adviser files suit against firm; also suing local regulators, including new NASAA president
Two Florida men caused up to 20 broker-dealers $2 million in losses through an alleged scheme that involved an illegal “free-riding” scheme of selling stocks before they paid for them.
The National Association of Personal Financial Advisors, whose members consider their fee-based model to be the gold standard for unbiased advice, is worried that its reputation will be tarnished in light of a second high-profile investigation involving one of its former top officers
Controversial plan to expand definition yanked to allow more input, further economic analysis
In an effort to halt that regulation and persuade the department to start over, the Financial Services Institute is going over Ms. Borzi's head and her boss's head, Secretary of Labor Hilda Solis, to President Barack Obama.
As Congress begins to assess the possible role of exchange-traded funds in recent market volatility, two ETF providers are clashing over the best way to help investors navigate the increasingly complex products
Bank of America Corp., hit by a credit downgrade last month, has moved derivatives from its Merrill Lynch unit to a subsidiary flush with insured deposits, according to sources with direct knowledge of the situation
When advisers and clients discuss what's happening in Washington, it tends to be an outlet for venting about political gridlock
