Financial Regulatory Forum

Brokerages stumble on following in-house supervision rules – study

By Guest Contributor
September 11, 2012

By Suzanne Barlyn

CORONADO, Calif., (Reuters) – Wall Street’s brokerages are falling short when it comes to policing their brokers, according to a nationwide series of examinations by state regulators.

ANALYSIS – Dodd bill takes pass on key U.S. broker reforms

By Reuters Staff
March 24, 2010

By Helen Kearney

NEW YORK, March 23 (Reuters) – As Senator Christopher Dodd’s financial regulatory reform bill heads to the full Senate, brokerages for now have escaped tougher regulation thanks largely to fierce lobbying by insurers.