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Compliance & Regulation
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Merrill Lynch Ordered to Pay $1.4M To Investor
February 3, 2012 - A FINRA arbitration panel called into question the value of the collateralized loan obligation investments the firm sold.
Ex-Bankers 'Mismarked' Bonds at Credit Suisse
February 1, 2012 - Four former investment bankers at Credit Suisse have been charged with mismarking subprime bonds, as part of a scheme to overstate their values during the height of the credit crisis.
EU Stops Deutsche Boerse-NYSE Merger
February 1, 2012 - Antitrust regulators in Europe stopped the merger of Deutsche Boerse and NYSE Euronext on Wednesday, saying the combined group would have a stranglehold of the listed European futures market and would thwart new entrants.
Featured Article
Industry Struggling to Meet New Cost-Basis Demands
May 4, 2009 - Financial firms are voicing concerns about the operational and systems changes required to accommodate the IRS's new cost-basis reporting mandate.



