Regulation

Former U.S. Senator Christopher Dodd weighed in on JPMorgan Chase's much-publicized trading loss Thursday, pointing to it as validation of the need for the landmark financial reform legislation he co-authored.

The SEC has conducted routine inspections of FINRA’s advertising and arbitration programs, but not as frequently as it had planned.

What do you do when spouses who are both clients have very different interests?

The presumptive Republican nominee has given almost no details about his plan to replace the Dodd-Frank Act

Four major flaws in proposed FINRA legislation that will hurt independent financial advisors and those they serve, according to NAPFA.

The increasing popularity of electronic brokerage has led the MSRB to examine whether retail investors who trade municipal securities through broker-dealers' online systems have adequate protection under its rules.

The Financial Services Institute issued a letter arguing an SRO modeled after FINRA is the best of all alternatives, and FINRA rebutted criticism of its cost estimates for an investment advisor regulator.

A broker has consented to pay a $10,000 fine and take a suspension of 15 business days in response to allegations that he incorrectly marked trades and prevented his firm’s compliance department from accurately monitoring the transactions.

Executives from BlackRock, Vanguard, JPMorgan Chase, and Invesco met with SEC Chairman Mary Schapiro to talk about money market reforms.

The former SEC enforcement lawyer who later tried to defend convicted Ponzi scheme operator Allen Stanford has been blocked from practicing before the commission.