Legislation creating a ‘new financial regulatory framework’ could be completed by year’s end, top...
Senator Christopher Dodd (D-Conn.) and Rep. Barney Frank (D-Mass.) - two congressional leaders over financial services legislation - have written President Obama pledging their "commitment ...
The head of the SEC's Division of Trading and Markets ErikSirri will be leaving the agency at the end of April to return to academia, ...
Four years ago Merrill Lynch bought the investment adviser firm Advest. Last month FINRA arbitrators ruled Merrill must pay $30 million because Advest breached its ...
Perhaps you're asking "what best execution committee?" So let's start there. Create a best execution committee, states J. Christopher Jackson, director and head of U.S. ...
As many firms file their annual Form ADV amendment with the SEC, know the AUM you report at that time will determine whether your advisory ...
Even though the Bernard L. Madoff Investment Securities firm was primarily a broker-dealer operation, the SEC's embarrassment over the scandal has led to a "backlash" ...
A $1 trillion stimulus package may garner the headlines but also emerging from the April 2 final G-20 joint statement is a call to strengthen ...
Reinstate the uptick rule. Leave short selling to the market. Come up with a new solution to what some see as the plusses and perils ...
Accused Ponzi artist Robert Allen Stanford has formally denied the allegations of fraud the SEC has made against him and others in his Stanford companies ...
Massachusetts authorities have charged FairfieldGreenwichAdvisors and FairfieldGreenwich (Bermuda) with securities fraud for failing to perform due diligence and shirking their fiduciary duty to investors. Fairfield ...