Citigroup Asks 600 US Staffers to Return to Office Full-Time May 28, 2024 Citigroup has asked its 600 U.S. employees, who are eligible to work remotely, to return to office fulltime, it said...
SEC Looking Into Use of Personal Digital Devices by Financial Professionals: Reuters October 13, 2021 By Chris Prentice and Jody Godoy The U.S. Securities and Exchange Commission (SEC) has opened a broad inquiry into how Wall Street banks are keeping track...
Wall Street Doesn’t Like Obama Plan on Retirement Brokers’ Fiduciary Duty May 27, 2015 By Dave Michaels The head of Wall Street’s self-regulator criticized the Obama administration’s effort to impose stricter standards on brokers who manage retirement...
Investor Panel Eyes Improved Online Background Checks of Financial Professionals April 10, 2015 By Sarah N. Lynch A panel of investor advocates said on Thursday they were developing a proposal for U.S. securities regulators that will make...
Securities Brokerages Free to Be Uninsured for Legal Awards September 29, 2014 By Emily Flitter The industry group that regulates securities brokerages has decided it cannot force firms to carry insurance for payment of awards...
Judge Dismisses Ex-Broker’s Privacy Claim Against Regulatory Website July 10, 2014 By Suzanne Barlyn A U.S. judge threw out a lawsuit against the Financial Industry Regulatory Authority (FINRA) by a former broker who alleged...