Regulators and RIAs would be better off if the latter were allowed to hire their own examiners — at least that's what one Georgetown professor contends.
Brown sends letter to Pandit telling bank to stop sending 1099s to customers who received miles for opening savings accounts; 'creating baseless fear'
Publishing tycoon tweets asks why President hasn't addressed controversial tax; he has
It's time to come to grips with misconceptions about taxing the rich
The Supreme Court today ruled in favor of the mutual fund industry in a case involving responsibility for statements made in prospectuses. A big deal? SIFMA said a decision for the plaintiffis would have caused 'crippling uncertainty' in the securities market.
Modest budget bump likely to be approved today; beyond that, it's a tough sell
The Securities and Exchange Commission will receive adequate funding for 2012, but must reform its operations and rule-making processes before a significantly bigger budget is approved for the agency, Capitol Hill Republicans said.
TCW Group Inc.'s former investment chief Jeffrey Gundlach plotted with colleagues to steal the company's trade secrets before he was fired and started a rival money-management firm, a lawyer for TCW told a jury.
Politics, or more specifically, lobbying, matters; 'they're going to be listening'
Company failed to dislose business relations with companies covered in research notes, regulator says
Plaintiff argued that proxy soliciting member approval for NYSE combo was fraudulent
A former UBS AG client was indicted by a federal grand jury on a charge that he defrauded the U.S. by hiding assets from the U.S. Internal Revenue Service.
Rep. Barney Frank, the leading proponent of universal fiduciary duty for retail investment advice, announced today that he will retire from Congress in 2013.
A Seattle-area pastor has pleaded guilty to charges of wire fraud and money laundering related to a $1.6 million Ponzi scheme he ran for eight years.
Finra has warned investment advisers to examine the effectiveness of their social-media compliance programs based on findings from recent SEC adviser examinations.
The Financial Industry Regulatory Authority Inc. has backed away from a proposal that would have required broker-dealers to file social-media postings with the regulator.
