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Newly appointed Securities and Exchange Commission Chairman Elisse Walter this week unveiled the agency’s General Counsel in the form of Geoffre Aronow, who will begin his new role later this month.

Cerulli Associate's got the formula for asset managers to attract advisers. The elements? Strong client service, useful website and a recognizable brand.

Bank of America Merrill Lynch this year will double the number of institutional trading forums it operates, putting on about two dozen.

JPMorgan Chase named Tim Ryan its Global Head of Regulatory Strategy and Policy. SIFMA names Kenneth Bentsen its acting chief, starting Feb. 23, and will search for a permanent successor.

Mario Gabelli is starting 2013 off on the right track.

When people think of jobs on Wall Street, they often imagine a bunch of accountants, analysts, stockbrokers, mathematicians and other brainy types. But not everyone in the financial sector follows the same path.

The Financial Industry Regulatory Authority assessed financial firms and individuals $68 million in fines in 2012 and ordered them to pay a record $34 million in restitution to investors, the regulator announced Tuesday.

The U.S. Supreme Court signaled it may tighten the time limits that apply when the Securities and Exchange Commission and other government agencies seek to impose fines on people and companies accused of fraud.

Cerulli Associate's got the formula for asset managers to attract advisers. The elements? Strong client service, useful website and a recognizable brand.

Newly appointed Securities and Exchange Commission Chairman Elisse Walter this week unveiled the agency’s General Counsel in the form of Geoffre Aronow, who will begin his new role later this month.