Regulation

How brokerage firms can prepare for the implementation of FINRA's new requirements.

The process to implement Dodd-Frank has been a year of inactivity followed by a year of confusion, one critic says.

Financial Services Institute, the advocacy organization for independent financial services firms and independent financial advisors, has tacked on more than 2,500 advisor members with the addition of NEXT Financial Group, Transamerica Financial Advisors and The Strategic Financial Alliance as first-year members.

FINRA reached its fifth anniversary Monday. The independent regulator of the brokerage industry said it has levied $254.1 million in fines, since July 30, 2007.

The Certified Financial Planner Board of Standards has unveiled a new framework for its disciplinary arm to follow when taking action against a member, the first such standards the certification group has issued in its history.

The starter's pistol is about to be fired for the swaps industry.

House Republicans have charted a course for expedited tax reforms next year in case they control Congress and the White House.

As sharp lines have emerged within a prominent House committee over how to step up examinations of investment advisers, the panel's chairman has signaled that no legislation will advance without broad, bipartisan consensus.

The Commodity Futures Trading Commission said the futures commission merchant based in Greenwich, Conn., failed to properly supervise the reporting of activity in accounts of large traders.

Comments by former Citigroup chief executive Sandy Weill reignited the debate over whether to separate commercial banking from investment banking.