The chairman of the Financial Crisis Inquiry Commission talks about too-big-to-fail banks and the push back to reform legislation.

New rules will make it possible for financial fraud tipsters to pocket a bounty of up to 30% of any recovery or sanctions of more than $1 million and provides new protections from employers.

The Financial Industry Regulatory Authority issued an alert to investors to look carefully into the potential risks of nonrecourse stock-based loan programs before participating in them.

Bank of America Corp. will pay $20 million and Morgan Stanley $2.35 million for improperly foreclosing on members of the military — some of whom were on active duty in Iraq and Afghanistan — under a settlement with the Justice Department.

The Financial Industry Regulatory Authority has fined Credit Suisse Securities (USA) $4.5 million, and Bank of America's Merrill Lynch unit $3 million for misrepresenting delinquency data and inadequate supervision in connection with the issuance of residential subprime mortgage securitizations.

The Securities and Exchange Commission has adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions.To be considered for an award, the SEC’s whistleblower program requires the individual to provide "original information" that leads to the successful enforcement by the SEC of a federal court or administrative action where penalties exceed $1 million.

The Financial Industry Regulatory Authority has ramped up its efforts to detect fraud and better work with investors and firms, its management team said on a panel Wednesday.

New ABA chief Frank Keating is a delegator who relishes political networking. In other words, he's nothing like Ed Yingling, the group's former CEO, who could pretty much do ...

The Securities and Exchange Commission Wednesday adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions where sanctions exceed $1 million.

The brokerage industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.

FINRA Chief Executive Richard Ketchum said firms need to have strong internal vigilance as the self-regulatory organization plans to step up its examination processes.

The atmosphere at the hearing reflected how polarizing a figure Warren has become, being portrayed either as a symbol of overreaching government or a defender of the consumer.

Now that Bank of America has bought itself out of a massive class action over the sorting of overdraft fees, its fellow banks need to decide if they hold an advantage that B of A did not.

The broker industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.

The Financial Industry Regulatory Authority fined Chicago-based Nuveen Investments $3 million for creating and distributing misleading brochures to promote the sale of auction rate preferred securities.

The Financial Industry Regulatory Authority fined Chicago-based Nuveen Investments $3 million for creating and distributing misleading brochures to promote the sale of auction rate preferred securities.

By listening to what individual investors are saying, wealth management firms can better serve various age demographics and clients, Bank of America President of Global Wealth Investment Sallie Krawcheck said at a FINRA panel.

Two big-bank executives said that unless Congress delays Dodd-Frank's cap on debit interchange fees, they are ready with options for new consumer and merchant fees.

While Congress, the SEC and individual states continue to work out the precise definition of a fiduciary and precisely what his or her requirements will be going forward, RIAs and other financial services professionals still need to take it upon themselves to implement best practices that will ensure they'll be in compliance whenever these new regulations are finalized.

FINRA has launched FINRA Disciplinary Actions Online, a searchable system that will give the public access to disciplinary actions for firms and registered representatives. It also adds another layer of transparency into the brokerage and financial advisory industry, on a firm and individual level.