Regulation

Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.

Trading on the New York Stock Exchange in the common stock of the parent company of American Airlines will be halted after next Wednesday.

Credit Suisse Securities has been fined $1.75 million by the Financial Industry Regulatory Authority for failing to properly supervise short-selling activity.

Credit Suisse Securities has been fined $1.75 million by FINRA for failing to properly supervise short-selling activity.

The Securities and Exchange Commission has closed a loophole that previously allowed individuals to artificially inflate net worth before investing in unregistered securities offerings. Advisers are generally supportive of the change.

The MF Global collapse provides an important lesson concerning the effectiveness of the principal, or proprietary, banking model. Leading up to the financial crisis, principal banking had replaced slow-growing, client-focused agency banking as the dominant model for large banks. Institutions focused on executing transactions as principals for their own accounts instead of for their clients.

Financial planners who work with households with $1 million in investable assets say the rule makes sense.

A FINRA arbitration panel slapped a former Bank of America Merrill Lynch financial advisor – now with U.S. Bancorp Investments – with an injunction that will prohibit him from soliciting his former clients until October 2012.

Federal regulators unveiled a highly-anticipated proposal that details how they plan to regulate the largest domestic financial firms, including new capital and liquidity requirements.

The U.S. Attorney's Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.