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U.S. regulators scrutinize risk controls for high-frequency trading

NEW YORK (Reuters) - U.S. regulators are taking a deep look at automated trading firms to determine whether adequate risk controls are in place to prevent major technology glitches or at least minimize their impact. Full story

Wall Street watchdog scraps controversial supervision plan

(Reuters) - Wall Street's industry-funded watchdog has scrapped a controversial plan that would have required brokerages to supervise business lines that are not related to the securities industry, according to a recent regulatory filing. Full story

Exclusive: FINRA beefs up policing of arbitrators

(Reuters) - Wall Street's industry-funded watchdog said it is beefing up oversight of its 6,500 securities arbitrators, after one of them was criminally indicted and suspended from the practice of law but failed to properly disclose those legal run-ins. Full story

FINRA reviewing brokerages' use of social media

(Reuters) - Wall Street's Financial Industry Regulatory Authority is looking at how brokerage firms supervise their use of communication outlets such as Facebook, Twitter and LinkedIn, the industry-funded regulator said. Full story

FINRA director in U.S. resigns after old theft indictment surfaces

NEW YORK (Reuters) - A regional director for the securities industry's self-regulatory agency resigned several weeks after the organization received a letter revealing the official had pleaded guilty two decades ago to charitable bingo fraud. Full story

Column: Business Development Companies - High yield, high risk

CHICAGO (Reuters) - In a frantic search for yields, investors often turn toward relatively unknown products. Business Development Companies (BDCs) are one of latest vehicles to grab investor attention - and money. Full story

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Articles

Schwab reverses ban on client class-action lawsuits

Judge blocks auction rate arbitration against Citigroup

U.S. judge blocks $383 million arbitration case against Citigroup

U.S. regulator warns about misleading investors in non-traded REITs

Making the jump ahead of bonus-disclosure rule

Financial markets oversight plan draws 31 expected bidders

Backlash over FINRA probe goes badly for broker so far

SunTrust sues to stop hedge fund's $13 million FINRA arbitration

FINRA plan to spotlight brokers' pasts draws praise, ire

Related Photos

Richard Ketchum, Chairman and CEO of FINRA, speaks during the Reuters Global Wealth Management Summit in New York
Richard Ketchum, Chairman and CEO of FINRA, speaks during the Reuters Global Wealth Management Summit in New York

Richard Ketchum, Chairman and CEO of FINRA, speaks during the Reuters Global Wealth Management Summit in New York June 4, 2013. REUTERS/Shannon Stapleton