NASDAQ Stock Market

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  FINRA at 5 Years: Highlighting 7 Areas of Action

  By Melanie Waddell, AdvisorOne  |  August 9, 2012

  Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.

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  Edelman Financial to Be Sold to Private Equity Group

  By John Sullivan, AdvisorOne  |  April 16, 2012

  The well-known—and controversial—advisor, radio and television personality Ric Edelman announced Monday that his Edelman Financial Group had entered into a merger agreement with Lee Equity Partners.

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  New Hire Roundup: Murphy New FSC President/CEO; MSRB Taps New Officers, Board

  By Marlene Y. Satter, AdvisorOne  |  August 25, 2011

  This week in new hires, FSC named Jerry Murphy its new president and CEO, while MSRB announced new officers and members of its board.

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  FSC Names Jerry Murphy New President and CEO

  By Janet Levaux, AdvisorOne  |  August 22, 2011

  Atlanta-based FSC Securities Corp., one of Advisor Group’s three independent broker-dealers, said it named Jerry Murphy as its new president and CEO on Monday.

• Credit Suisse to Offer Platform That Discourages High Frequency Trading

  By John Sullivan, AdvisorOne  |  January 24, 2011

  First U.S. electronic communications network to be started in five years.

• Markets, LPL Trade Up Slightly for Day, Week

  By Janet Levaux, AdvisorOne  |  November 19, 2010

  IPOs rise for a second day and other shares recover after falling 1.6% on Wednesday. LPL Financial moved up on its second day of trading by 1.46% to 32.60.

• FINRA to Assume Oversight of NYSE Euronext Markets

  By Michael S. Fischer  |  June 15, 2010

  The Financial Industry Regulatory Authority (FINRA) will assume surveillance and enforcement functions for NYSE Euronext's three U.S. equities and options markets in an agreement announced June 14.

• More Regulation Post-Madoff?

  By Jeff Joseph  |  January 1, 2009

  The only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...

• Obama's Schapiro selection already facing scrutiny

  By Staff Writer  |  December 18, 2008

  Obama's selection of Mary Schapiro to head the Securities and Exchange Commission is already coming under fire. Wall Street Journal political reporter T.W. Farnum, claims...

• BGI Launches Theme Funds

  By Staff Writer  |  September 1, 2008

  One of the developing trends over the past few years has been theme-based investments. The idea is to focus on emerging ideas that may reshape...