Michael Oxley of 'Sarbanes-Oxley' fame will push for self-regulation of investment advisers
Ex-Charles Schwab Corp. investment company manager Randall Merk agreed to pay a $150,000 civil fine to resolve a Securities and Exchange Commission lawsuit accusing the company of misleading investors in its YieldPlus fund.
Ameriprise Financial Inc., two of its Securities America units and a group of investors who sued them asked a U.S. judge to approve a proposed $80 million cash settlement
The Securities Investor Protection Corp. is taking issue with a warning from the SEC's inspector general that the cost of liquidating Bernard Madoff's firm and Lehman Brothers could deplete the SIPC's reserve fund
Axa Equitable Life Insurance Co. has paired up with Wilshire Associates Inc. to give small and midsize retirement plans access to fiduciary services.
Finra claims Pinnacle Partners is continuing to mislead potential investors about oil and gas private placements – even though the firm has already been hit with a cease-and-desist order. The firm's boss, however, denies all charges lodged by the industry regulator.
The U.S. Securities and Exchange Commission has named Julius Leiman-Carbia as an associate director to lead the agency's national broker-dealer examination program.
Independent financial advisers slam his economic policies; Reagan still the man
Agency extends due date for Form 8939;' good news' for those struggling with cost basis of property
Despite claims of GOP lawmakers, FPC says issue of single standard of care has been thoroughly studied
SEC nixes April-June target to gather more industry feedback
The Federal Energy Regulatory Commission issued a $30 million fine against former Amaranth Advisors LLC energy trader Brian Hunter, who is accused of manipulating the natural-gas futures market in 2006.
Massachusetts plans to regulate expert-network firms, the first state in the U.S. to set rules for an industry that was caught up in the federal government's insider-trading investigation.
Warren slams attempts to weaken authority of new bureau; Wall Street 'behemoths' the real problem
Broad outlines of the debate over comprehensive tax reform are starting to emerge on Capitol Hill
Securities America Inc. could go out of business if a federal judge does not approve a $21 million class action settlement related to private-placement litigation against the company
Commission said to be addressing substantial risks in the market that have gone unchecked; 'there's going to be a lot of trouble ahead'
