Regulation

Large arbitration cases of $10 million or more can now create new processes to fit a case and go around certain established rules under a new pilot program launched today by the Financial Industry Regulatory Authority, or FINRA.

Higher operating costs, increases in employee compensation and losses in equity markets took their toll on the regulator’s books.

How often have sponsors had to intervene to prop up money market funds?

A proposal by regulators to revamp the way banks must measure risk on certain assets is alarming many community bankers, who argue it will raise capital requirements, increase compliance costs and curb lending.

When do you have to be forthcoming about a civil action coupled with a bankruptcy?

Revision aligns with FINRA's new rule on suitability.

How often have sponsors had to intervene to prop up money market funds?

The regulatory board has revised its fees for various services in order to keep up with resource demands.

Hundreds of delinquent medium-sized RIAs must register with their respective states by today’s SEC deadline or face the prospect of being de-registered as early as Sept. 1.

Hundreds of medium-size RIAs are procrastinating and face the specter of de-registration by the SEC if they do not file for state registration by Thursday.