Practice

The top U.S. derivatives regulator is poised to announce a range of potential methods for overseeing automated and high-frequency trading, according to four people with knowledge of the matter.

SEC Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market.

Hundreds of SEC lawyers and examiners face new obstacles to cashing in on their agency experience under an expanded ethics rule to take effect in January.

Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC have been fined $1 million by the Financial Industry Regulatory Authority (FINRA) it was announced today.

Further excitement in the saga of Detroit’s bankruptcy: Public-sector unions are challenging the city’s estimates of its pension underfunding.

Clients may be holding back simply because they don’t want to hear your answer¬—how are you supposed to deal with that?

The estate is arguing that a tax bill calculated by the IRS overvalued assets including real estate, a Bentley automobile and the late singer’s “image and likeness.”

In 2012, nearly 27% of commercial banks offered investment services, marking the first increase in over a decade.

RIAs have a new top cop in Washington.

When are you most efficient in the day? Figure it out -- and then organize your daily time management strategy with your own circadian rhythms in mind.