Regulation

Investors being duped into pouring tens of millions of dollars into fake high-yield opportunities being touted all over the social mediascape.

The Municipal Securities Rulemaking Board is wrestling with how much it needs to increase its staff, technological capability, and funds to implement provisions of the new financial regulatory reform law that require it to make the most expansive changes since its creation in 1975.

International banking regulators said Monday they reached broad agreement on the overarching principles that will shape capital requirements and liquidity rules for banks in the coming years.

The legislation by Rep. Scott Garrett, R-N.J., would establish a regulatory framework for covered bonds, including a regime to handle the failure of a bond issuer.

Sometimes regulatory changes that are meant to benefit investors end up taxing industry professionals, though this does not appear to be the case for the Securities and Exchange Commission's new format for investment company brochures.

Is perception reality? A balance sheet or a SEC filing snapshot says it is.

Crooks are using social media sites to promote illegitimate high yield investment programs (Hyips), the U.S. Financial Industry Regulatory (FINRA) warned last week.

WASHINGTON-The mutual fund and brokerage industries are revisiting their sales loads structure following the Securities and Exchange Commission's unanimous decision last Wednesday to revamp the 12b-1 sales and distribution fees that have become so prevalent in the industry and to provide better disclosures of these charges to investors.

The Financial Industry Regulatory Authority announced Wednesday it fined Deutsche Bank Securities Inc. $7.5 million for negligently misrepresenting delinquency data in connection with the issuance of subprime securities.

When the European Markets in Financial Services Directive was adopted three years ago, fund managers appeared content. After all, more competition in markets would mean their broker-dealers would get a "better deal" for their firms and their clients.