Rumors swirled late Friday and Monday that Morgan Stanley, the struggling Wall Street powerbroker, was looking to takeover BlackRock, the successful institutional money manager. But a more likely scenario, say analysts, is that Morgan Stanley will...

With Fidelity Investment brokers being linked with stories of drugs, prostitution and other forms of high-flying partying, the NASD and NYSE are proposing stricter rules to rein in spending on longstanding methods of winning business.

The Supreme Court heard arguments yesterday in connection with a suit by a former Merrill Lynch broker against the nation’s largest brokerage firm, and the early reaction to the hearing is that this time Goliath won.

Barry Goldsmith, the NASD’s executive vice president for enforcement, is headed over to the dark side. Goldsmith will be leaving the regulator in March for private practice at the Washington, D.C.-based law firm Gibson Dunn & Crutcher. He...

We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That’s right, we’re asking for nominations for the Outstanding Broker Awards. Now in its 26th year, the OBAs are awarded...

Daniel Calugar, a former Las Vegas stock trader, settled with the SEC regarding charges involving market timing and late trading of mutual funds. The settlement will require him to pay a record $153 million in penalties.

New York Stock Exchange Regulation, along with the New Jersey Bureau of Securities, today announced that UBS Financial Services was fined $49.5 million for failure to supervise the deceptive market timing activities of its brokers.

The NASD Board of Governors announced today that Mary Schapiro, currently the self-regulator’s head of Regulatory Policy and Oversight, will become the NASD’s chairwoman when the term of its current chief, Robert Glauber, ends in...

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