Regulation

The Federal Reserve governor leading the central bank’s effort to tighten financial regulation has a decision to make as its governing board is reshaped: Should he stay or should he go?

The Federal Reserve governor leading the central bank’s effort to tighten financial regulation has a decision to make as its governing board is reshaped: Should he stay or should he go?

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities.

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities. This came after Bureau investigators found the company was in violation of state securities laws and regulations in its sale of non-traditional exchange-traded funds to investors.

A British charity sued a Bank of New York Mellon Corp. unit that managed its funds, saying risky investments caused losses of about 7.9 million pounds ($12.2 million).

Bank of America Corp.’s traders fought off efforts by the firm in 2007 to include risky Alt-A mortgages in a securitization. That wasn’t enough to spare investors from being cheated, according to th

Views are mixed on the impact of the recent Securities and Exchange Commission decision to lift the general solicitation ban on private securities offerings.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

UBS AG will pay almost $50 million to settle U.S. Securities and Exchange Commission claims that a brokerage unit violated securities laws in the structuring and marketing of a collateralized debt obligation.