Practice

The New York Stock Exchange, the Nasdaq Stock Market, Direct Edge and BATS Global Markets said they will open for business at 9:30 a.m. Monday, for normal operations.

There are a lot of technology nightmares that follow a merger, but untangling contracts for software and other systems is one of the biggest.

Compliance professionals don’t think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).

Hurricane Irene is expected to make landfall Saturday in coastal North Carolina and hit the turf that houses the data centers that make up Wall Street on Sunday.

Compliance professionals don’t think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).

Steve Jobs' resignation as Apple Computer's chief executive may prove a mixed bag -- but a critically important one -- for banks.

A former Morgan Stanley Dean Witter stockbroker was sentenced this week to almost five years in prison and ordered to pay his former employer $1.5 million in restitution in connection with fraud charges.

At focus11, LPL Financial's national conference held earlier this month, it was clear that social media was clearly more than just a casual "focus" for the 5,000-plus attendees. Along with several well attended sessions, LPL had a station on the exhibit floor dedicated to the topic that enjoyed constant advisor traffic.

The website of the Morningstar firm went down for an undisclosed period Tuesday, the same afternoon an earthquake rattled the East Coast from a site near Mineral, Virginia.

Broker-dealers don’t have to track every message sent through social media -- only ones that relate to business purposes. And unscripted interactions? They can be reported after they occur.