Regulation

NYSE Euronext said it would focus on its “standalone strategy,’’ while Deutsche Boerse declared this a ‘black day’ after the European Commission prohibited the merger of the two exchange operators.

Antitrust regulators in Europe stopped the merger of Deutsche Boerse and NYSE Euronext on Wednesday, saying the combined group would have a stranglehold of the listed European futures market and would thwart new entrants.

One senator calls the proposal not nearly tough enough.

Our legal expert explains what discretion you have with the account of a client who passes away.

Head of Americas Investment Strategy at Barclays Wealth discusses how investors can look at this year's presidential election.

FINRA has filed an enforcement complaint against David Lerner, the operator of a brokerage aimed at retail investors, claiming he misled investors when he tried to quell customer concern about an action taken against his firm for its marketing of real estate securities.

The SEC sanctioned Florida-based 1st Discount Brokerage and a former executive vice president for failing to supervise an advisor who was operating a Ponzi scheme.

The firm joins several others, including Ladenburg Thalmann, Cetera and LPL Financial, to offer subsidized FSI memberships to advisors.

Will the recent SEC alert chill the use of social media by asset management firms? Or simply put it on ice?

The former UBS trader accused of unauthorized deals that cost the Swiss bank $2.3 billion pleaded not guilty to four fraud and false accounting charges in a London court.