Law and regulation

NYSE has hired Vanguard veteran Doug Yones to oversee exchange-traded products.

The self-regulatory organization plans an internal and external search to replace the industry veteran.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including one advisor who's making a move and wondering what data can information can go with him.

Some of the biggest computerized-trading firms are facing obstacles as they try to move into interest-rate swaps.

Edward Jones and four other firms were sanctioned by FINRA for overcharging some clients on mutual fund sales.

Paul O'Neil received the lifetime achievement award this year for his deep career in the mutual fund industry as well as for his nearly four decades of work with NICSA.

Fidelity "served as a haven from regulatory oversight as it ignored blatant unregistered investment advisory activity,” according to Massachusetts' top securities regulator.

Industry executives and innovative firms will be recognized for their contributions to the asset management industry at the 13th annual NICSA/NOVA Awards on Oct. 29 in Boston.

Secretary of Labor Thomas Perez said staff members have industry experience, in response to recent criticism, and emphasized that the department has been actively engaging and listening to critics as well as supporters of its proposed fiduciary rule.

The rep was expelled for failing to cooperate with a FINRA investigation into allegations that she misappropriated funds from a retail bank customer's account.