Regulation

Morgan Stanley & Co. has been fined $800,000 by FINRA for failing to make public disclosures required by the agency’s rules governing research analyst conflicts of interest.

FINRA fined the financial services company for deficient conflict of interest disclosures in equity research reports and public appearances.

WASHINGTON — Four major municipal market groups are urging the Treasury Department to issue guidance confirming that the existing regulatory framework on issue price for tax-exempt bonds also applies to Build America Bonds and stating that if issuers follow certain long-standing practices, they can be confident they are complying with the rules in this area.

Although the Obama administration sought to avoid granting carve-outs as part of the regulatory reform bill, the final law is riddled with them.

Major Wall Street, business, political and consumer finance magazines are warning investors about hidden 12b-1 and 401(k) fees, various share classes and the loads ascribed to them.

Fund Manager Sentenced Six Years on Tax Charges

WASHINGTON — Regulators are poised next week to start moving away from reliance on the tarnished credit rating agencies in the supervisory process, but finding other options likely will be difficult.

Law curtails regulator's powers, requires radical transparency

The founder and principal manager of a bogus foreign exchange fund that effectively operated like a Ponzi scheme has been sentenced to nearly six years in prison on tax charges.

The founder and principal manager of a bogus foreign exchange fund that effectively operated like a Ponzi scheme has been sentenced to nearly six years in prison on tax charges.