The SEC's plan to let hedge funds advertise Reg D offerings isn't sitting well with the retail fund industry. Here's why.
Some see move to independent, fee-based model, open-architecture as opportunity.
State lawmakers are chipping away at securities firms' ability to monitor employee activity on social-media sites, which could cause compliance headaches for both firms and regulators.
The securities industry in California is up in arms over a bill that would ban employers from requiring employees to hand over their social media passwords.
From Oct. 1, some fees waived, ticket charges cut
Finra claims brokerage failed to properly supervise ex-rep
Networking: Pershing plumps up trust lineup
