Regulation

A FINRA arbitration panel has ordered UBS to cough up $2.8 million to settle a dispute with a former in-house recruiter.

Only half as many muni advisory firms are registered with the Municipal Securities Rulemaking Board compared to those registered with the Securities and Exchange Commission, even though advisory firms are now required to sign up with both regulators under the Dodd-Frank Wall Street Reform and Consumer Protection Act.

The Securities and Exchange Commission has extended by four months the date by which advisors must deliver information about their personnel to their clients to help them make the necessary operational adjustments.

The Financial Industry Regulatory Authority expelled APS Financial Corp., and barred its former president as well as its former broker from the industry. The move comes in response to an alleged scheme involving an elderly investor and markups on CMOs as well as other types of securities.

While 2010 was an all-out scramble by Democratic leaders to harness outrage over the financial crisis to push reg reform over the finish line, the legislative outlook for next year ...

Retirement plan providers will be able to sue more people and have a legal leg to stand on.

Brokers must keep addresses and other pertinent information updated with the CRD. Doing otherwise can lead to trouble.

The number of delinquent mortgages rose while foreclosures also jumped in the third quarter, according to a report released Wednesday by federal regulators.

The Financial Stability Oversight Council was created to identify systemic risks and act to disarm them. But the first five months of the council's existence have been underwhelming.

The Financial Industry Regulatory Authority said it expelled an Austin brokerage firm from the securities industry and barred the firm's former president and a broker from working in the industry.