Regulation

The Securities and Exchange Commission has adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions.To be considered for an award, the SEC’s whistleblower program requires the individual to provide "original information" that leads to the successful enforcement by the SEC of a federal court or administrative action where penalties exceed $1 million.

The Financial Industry Regulatory Authority has ramped up its efforts to detect fraud and better work with investors and firms, its management team said on a panel Wednesday.

New ABA chief Frank Keating is a delegator who relishes political networking. In other words, he's nothing like Ed Yingling, the group's former CEO, who could pretty much do ...

The Securities and Exchange Commission Wednesday adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions where sanctions exceed $1 million.

The brokerage industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.

FINRA Chief Executive Richard Ketchum said firms need to have strong internal vigilance as the self-regulatory organization plans to step up its examination processes.

The atmosphere at the hearing reflected how polarizing a figure Warren has become, being portrayed either as a symbol of overreaching government or a defender of the consumer.

Now that Bank of America has bought itself out of a massive class action over the sorting of overdraft fees, its fellow banks need to decide if they hold an advantage that B of A did not.

The broker industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.

The Financial Industry Regulatory Authority fined Chicago-based Nuveen Investments $3 million for creating and distributing misleading brochures to promote the sale of auction rate preferred securities.