Regulation

A flood of traffic took down Charles Schwab & Co.’s website late Tuesday.

Advisors need to be well-versed in cybercrime to protect themselves and their clients. Check out six tips from the FBI.

Credit Suisse Securities LLC sued to block a Financial Industry Regulatory Authority arbitration, arguing that the investors who initiated the claim don’t fit the Finra definition of “customer” required for the dispute- resolution process.

From fiduciary rules to state tax strategies, regulatory issues continue to be on the front burner for the industry, the CEO of Raymond James Financial’s Global Private Client Group told advisors Tuesday.

Southwire Co., the privately-held wire and cable manufacturer, has asked a U.S. court to review a regulatory decision that cleared the way for BlackRock’s planned exchange-traded fund backed by copper.

The Securities and Exchange Commission yesterday announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-Directors of the Division of Enforcement.

George Canellos and Andrew Ceresney have been named co-directors of enforcement at the Securities and Exchange Commission.

Succession planning, regulatory and technological issues will be the main focus for Raymond James Financial Services over the next year, according to Scott Curtis, the firm's president.

The regulator seeks to change the way customers select arbitration panels.

Newly-minted Securities and Exchange Commission Chairman Mary Jo White is off and running. Somewhat.