Law and regulation

SEC says it will no longer let companies "neither admit nor deny" charges in settling cases it brings against them. Sort of.

He didn't want to lose and didn't want to do what was necessary to win.

The SEC has charged an Illinois-based investment advisor with using LinkedIn and other social media channels to attempt to sell $500 million in fictitious securities.

With Ladenburg Thalmann the latest firm to offer subsidized Financial Services Institute memberships to its advisors, FSI’s membership ranks have grown to more than 33,000 advisors.

Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.

The multi-million dollar lawsuit that Trust Company of the West brought against former star portfolio manager Jeffrey Gundlach, who TCW fired in 2009 but who then formed his own, competing firm, DoubleLine Capital, has been settled out of court.

You never know what to expect. But events of 2011 gave plenty of clues for what lies ahead in 2012, as trading firms and exchanges speed up and beef up.

He didn't want to lose and didn't want to do what was necessary to win.

Our legal expert discusses when you must report a claim against you even if you didn't do anything wrong.

Trading on the New York Stock Exchange in the common stock of the parent company of American Airlines will be halted after next Wednesday.

BNY Mellon announced that it awarded more than $7.2 million to New York-area nonprofits in 2011.

Credit Suisse Securities has been fined $1.75 million by FINRA for failing to properly supervise short-selling activity.

Financial planners who work with households with $1 million in investable assets say the rule makes sense.

A FINRA arbitration panel slapped a former Bank of America Merrill Lynch financial advisor – now with U.S. Bancorp Investments – with an injunction that will prohibit him from soliciting his former clients until October 2012.

Federal regulators unveiled a highly-anticipated proposal that details how they plan to regulate the largest domestic financial firms, including new capital and liquidity requirements.

The U.S. Attorney's Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of an SEC lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.

This may feel like the time to be generous, but registered broker-dealers should be extra cautious when giving gifts. Here are 13 ways that registered broker-dealers can run afoul of the rules during the holiday season.

More than 80% of investment advisors would prefer to pay user fees to fund greater SEC oversight than to be overseen by a self-regulatory organization, a major new study found.