Regulation

Brokerage firms will likely step up their own diligence when it comes to private placements

Our legal expert answers your questions about interstate licensing.

The CEO and executive director of the Investment Management Consultants Association (IMCA) shares his thoughts on his organization's changing population.

A federal judge in Orlando, Fla., has permanently barred Richard Goble, president of a defunct clearing firm and a critic of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.

A FINRA arbitration panel awarded $1.76 million to an investor group who participated in Madoff feeder fund Rye Select Broad Market Fund and other investments.

A federal judge has permanently barred Richard Goble, president of a defunct clearing firm and a one-time member of the board of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.

A House Ways and Means Committee panel plans to hold a hearing next Thursday on a bill that would prohibit state and local governments from issuing tax-exempt bonds unless they meet certain pension disclosure requirements.

Banks and several large technology companies, including Apple Inc. and Microsoft Corp., argue that because the Fed's proposed 12-cent interchange fee cap does not properly take into account the costs of fraud and fraud prevention, banks will inevitably have less money to protect data security, making the entire system less safe.

Regulatory reform was on the top of everyone’s minds at the Women Advisors Forum in New York City on Thursday.

Fed Chairman Ben Bernanke broke with tradition on Wednesday, offering a rare glimpse into how the central bank conducts monetary policy, a process usually kept secret.