Financial Regulatory Forum

U.S. budget squeeze could push investment advisers into FINRA oversight -trade group (Complinet)

By Guest Contributor
January 5, 2011

By Ted Knutson,  Complinet

It is “possible” a budget squeeze could push the Securities and Exchange Commission into calling for a self-regulatory organization for investment advisers, David Tittsworth, executive director at Investment Adviser Association, told Complinet.

PREVIEW-FINRA faces calls to lift veil on finances, pay

By Reuters Staff
August 10, 2010

By Joseph A. Giannone

NEW YORK, Aug 10 (Reuters) – Wall Street regulator FINRA, which demands disclosure and openness from brokers, is under pressure to lift the veil on its own affairs.

U.S. watchdog probes firms’ trading tips – sources

By Reuters Staff
December 18, 2009

NEW YORK/WASHINGTON, Dec 18 (Reuters) – The U.S. brokerage watchdog is probing how Wall Street firms, including JP Morgan Chase and Citigroup Inc, offer stock research, two people familiar with the probe said on Friday.

Facebook challenges financial regulators -FINRA

By Reuters Staff
October 28, 2009

Mark Zuckerberg, founder and CEO of Facebook, delivers a keynote address at the company's annual conference in San Francisco, California July 23, 2008. Zuckerberg, 24, told an audience of 1,000 industry executives, software makers, media, and his mother and father at the conference here of plans to let Facebook features run on affiliated sites off the social network. REUTERS/Kimberly White (UNITED STATES) NEW YORK, Oct 27 (Reuters) – Social networking sites like Facebook and LinkedIn raise “serious new challenges” for financial regulators, the head of the largest U.S. independent securities regulator said on Tuesday.

U.S. SEC warns investors on leveraged exchange-traded funds

By Reuters Staff
August 18, 2009

Securities and Exchange Commission Chairwoman Mary Schapiro

By Ross Kerber
BOSTON, Aug 18 (Reuters) – Federal securities officials warned investors for the first time on Tuesday that leveraged exchange-traded funds could lead to big losses.