News Feed

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.

A spike in the proportion of RIA-to-RIA deals in the first half of this year may signify that the advisory field is starting to come into its own.

Morgan Stanley Smith Barney and Morgan Stanley & Co. have been fined $1 million by the Financial Industry Regulatory Authority (FINRA) it was announced today.

Bloomberg -- U.S. Securities and Exchange Commission Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market.

The top U.S. derivatives regulator is poised to announce a range of potential methods for overseeing automated and high-frequency trading, according to four people with knowledge of the matter.

SEC Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market.

A software malfunction shut down trading on the NASDAQ for three hours this afternoon, but it was not enough to shake investors.

Bloomberg -- U.S.-registered bond mutual and exchange-traded funds lost $30.3 billion to investor redemptions this month, putting them on track for their slowest year since 2004.

Hundreds of SEC lawyers and examiners face new obstacles to cashing in on their agency experience under an expanded ethics rule to take effect in January.

Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC have been fined $1 million by the Financial Industry Regulatory Authority (FINRA) it was announced today.