Regulation

The Financial Industry Regulatory Authority has ordered five firms to pay $117,425 in fines and restitution to customers for violation of municipal securities trade, pricing and supervisory rules.

On eve of law's second anniversary, regulators face heavy scrutiny over how they will implement remaining Dodd-Frank rules. Many key regulations have yet to be seen.

It may seem completely crazy to compare the use of social media with sexual harassment.

On a three to two vote, the Securities and Exchange Commission charged the nation's exchanges and the Financial Industry Regulatory Authority with developing and maintaining a consolidated and auditable trail of every order, cancellation, modification and executed trade on 13 national stock exchanges, 10 options markets and through more than 200 broker-dealers.

There is a new sheriff in town for the mutual fund industry-and he may need to borrow money for bullets.

The head of the Financial Services Institute has delivered a pointed letter to House committee leaders criticizing the efforts of the Department of Labor in developing a new definition of the term "fiduciary" that would cover financial professionals providing advice to retirement plans.

Fund managers and financial advisors are looking to the cloud to reduce costs, enhance performance, and improve accessibility, but many questions remain.

Fund managers and financial advisors are looking to the cloud to reduce costs, enhance performance, and improve accessibility.

On a 3-2 vote, the federal regulator charged the nation's 13 exchanges and the Financial Industry Regulatory Authority to come up with a workable system for keeping track of all options and stock activity, before the start of the next trading day.

Five candidates will compete for three seats on FINRA’s board of governors.