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FINRA fines Merrill $1 million for best-execution lapses

A Wall Street regulator on Tuesday said it had fined Bank of America Corp's Merrill Lynch $1 million in a civil action for not getting the best execution price for customer transactions involving non-convertible preferred securities and failing to properly supervise the process.

action america corp execution finra lynch merrill million securities street transactions wall

Found more than 1 month ago on channel Reuters

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SEC tells banks to improve structured note disclosures: filings

NEW YORK - The Securities and Exchange Commission told five big Wall Street banks last year to improve disclosures about structured notes that are mostly sold to retail investors, and criticized use of the term "principal protected" in marketing materials.

commission exchange sec securities street wall york

Found more than 1 month ago on channel Reuters

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Senate confirms White to head SEC

WASHINGTON -- The U.S. Senate has confirmed Mary Jo White's nomination as chairman of the Securities and Exchange Commission, clearing the way for her to become the first former prosecutor to lead the agency that oversees Wall Street....

agency commission exchange mary nomination sec securities senate street wall washington white

Found more than 1 month ago on channel Associated Press

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Senate approves Wall Street prosecutor to head SEC

The Senate on Monday unanimously approved Mary Jo White, a former U.S. attorney who supervised the prosecution of New York mob boss John Gotti, to head the Securities and Exchange Commission.

commission exchange gotti john mary prosecution sec securities senate street wall white york

Found more than 1 month ago on channel MarketWatch

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Ex-SEC chief Schapiro to join a private consultancy firm: WSJ

Former Securities and Exchange Commission (SEC) chairman Mary Schapiro will join a private consulting firm as a managing director, the Wall Street Journal said, following a tumultuous four years rehabilitating the agency's battered reputation.

agency commission consultancy ex-sec exchange journal mary schapiro reputation sec securities street wall wsj

Found more than 1 month ago on channel Reuters

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FINRA fines Merrill $1 million for best-execution lapses

A Wall Street regulator on Tuesday said it had fined Bank of America Corp's Merrill Lynch $1 million in a civil action for not getting the best execution price for customer transactions involving non-convertible preferred securities and failing to properly supervise the process.

SEC tells banks to improve structured note disclosures: filings

NEW YORK - The Securities and Exchange Commission told five big Wall Street banks last year to improve disclosures about structured notes that are mostly sold to retail investors, and criticized use of the term "principal protected" in marketing materials.

Senate confirms White to head SEC

WASHINGTON -- The U.S. Senate has confirmed Mary Jo White's nomination as chairman of the Securities and Exchange Commission, clearing the way for her to become the first former prosecutor to lead the agency that oversees Wall Street....

Senate approves Wall Street prosecutor to head SEC

The Senate on Monday unanimously approved Mary Jo White, a former U.S. attorney who supervised the prosecution of New York mob boss John Gotti, to head the Securities and Exchange Commission.

Ex-SEC chief Schapiro to join a private consultancy firm: WSJ

Former Securities and Exchange Commission (SEC) chairman Mary Schapiro will join a private consulting firm as a managing director, the Wall Street Journal said, following a tumultuous four years rehabilitating the agency's battered reputation.

tibidy-business.com

Cross-read the freshest news on business and global market places.

FINRA fines Merrill $1 million for best-execution lapses

A Wall Street regulator on Tuesday said it had fined Bank of America Corp's Merrill Lynch $1 million in a civil action for not getting the best execution price for customer transactions involving non-convertible preferred securities and failing to properly supervise the process.

SEC tells banks to improve structured note disclosures: filings

NEW YORK - The Securities and Exchange Commission told five big Wall Street banks last year to improve disclosures about structured notes that are mostly sold to retail investors, and criticized use of the term "principal protected" in marketing materials.

Senate confirms White to head SEC

WASHINGTON -- The U.S. Senate has confirmed Mary Jo White's nomination as chairman of the Securities and Exchange Commission, clearing the way for her to become the first former prosecutor to lead the agency that oversees Wall Street....

Senate approves Wall Street prosecutor to head SEC

The Senate on Monday unanimously approved Mary Jo White, a former U.S. attorney who supervised the prosecution of New York mob boss John Gotti, to head the Securities and Exchange Commission.

Ex-SEC chief Schapiro to join a private consultancy firm: WSJ

Former Securities and Exchange Commission (SEC) chairman Mary Schapiro will join a private consulting firm as a managing director, the Wall Street Journal said, following a tumultuous four years rehabilitating the agency's battered reputation.

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