Regulatory actions and programs

The lender eliminated production goals in effort to reassure regulators, lawmakers and customers after employees opened more than 2 million accounts without clients’ approval.

The bank can adapt to adjustments needed to deal with claims it opened 2 million customer accounts without authorization, according to CFO John Shrewsberry.

The Swiss firm alerted brokers that they may take their disputes to FINRA instead of resolving them in a private forum set up by the company.

An ex-American Realty Capital executive allegedly overstated a key accounting metric by roughly $13 million, according to the SEC and federal prosecutors.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

The case is the latest related to alleged misconduct by a barred wirehouse broker who was also a nightclub owner.

The firm's expansion may also include assignments on private placements and unsecured-debt from real estate investment trusts, an executive says.

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.