Regulation

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  1. Articles

    Finra names new head of arbitration

    A 19-year veteran of the organization will replace Linda Fienberg on Dec. 1.

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    Firms pumping millions into their compliance departments to keep regulators at bay

    Compliance specialists, like LPL's David Bergers, are being paid millions to help firms keep regulators at bay. But is the surge in investment in compliance worth it?

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    Finra's CARDS plan is likely to be a game changer

    Along with helping identify trading abuses, system will help facilitate cost-benefit analyses

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    Spike in Finra, SEC regulation leaves star brokers exposed

    Long treated with kid gloves, big producers now face questions about alleged violations.

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    Analysts question whether LPL is out of the regulatory woods

    Analysts are unnerved by LPL Financial's inability to close the cash register on regulatory charges after CEO Mark Casady said compliance failures could cost $23 million in the third quarter.

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    Social Security cost-of-living adjustment to rise less than 2% again in 2015

    Social Security Administration says benefits will rise 1.7% next year, coming to about $20 extra per month, which some argue won't cover health care inflation.

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    What the SEC's enforcement numbers really tell us

    Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

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    Borzi taking a back seat on fiduciary

    DOL conflicts-rule champion Phyllis Borzi steps back while secretary meets with industry

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    Pimco Total Return takes big hit

    Breakfast with Benjamin: Gross leaves and the cash follows. Plus: A new robo-adviser enters the market; Schorsch at it again, with a twist; corporations are healthy, healthy, healthy; oil prices are falling; and Elon Musk's next move.

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    Biotechs riding high as Ebola diagnosed in the U.S.

    Breakfast with Benjamin: Biotechs riding high. Plus: Reading into the market's Halloween indicator, J.P. Morgan steps in another MBS mess, Ford looks like a preview of things to come for stocks, and investing like rich folks, even if you aren't rich yet.

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    Finra pushes ahead with controversial data collection program

    Industry groups organize to have a stronger voice in shaping the CARDS rule going forward.

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    Don't overlook the housing recovery

    Breakfast with Benjamin: Remember housing stocks? You should. Plus: How Pimco stepped in it, academics take on high-frequency trading, the bad math behind climate-change regs, and men are better retirement savers than women.

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    Investment Adviser Association names new head

    Investment Adviser Association names its general counsel, Karen Barr, as its president and CEO.

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    Yellen to the markets: Don't say you weren't warned

    Midweek Breakfast with Benjamin: Yellen warned us. Plus: SEC probes Pimco ETF over asset pricing, America's 401(k)s are failing investors, and how Obama's attack on corporate inversions flunks basic math.

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    Market risk is ignored by invincible investors

    Breakfast with Benjamin: A real risk thanks to the bull market: investors' sense of invincibility, plus El-Erian dishes on Pimco, second-guessing Calpers, and more.