Regulation

The advisor used about $410,000 to pay back investors in Ponzi-like fashion to keep the scheme alive, the regulator says.

State Street and Goldman Sachs are planning a series of funds that would invest in everything from robotics to deep-sea exploration.

"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.

The IBD network disclosed the renewal of its clearing agreement, along with three firms’ intention to self-report possible mutual fund violations to the SEC.

Firms designated as “taping firms” due to the high number of brokers they hired from disciplined firms may soon have their status as taping firms disclosed in BrokerCheck.

An overreliance on disclosure isn't enough to protect clients from bad brokers, the investor advocacy group says.

The dispute pits four advisors against big Wall Street names: Wells Fargo, Morgan Stanley, Raymond James and Merrill Lynch.

The rep accepted two loans while employed at Robert W. Baird and later neglected to disclose them to Citigroup Global Markets, FINRA claimed.

It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.

The commission’s draft fails miserably as a consumer protection measure for the public and actually makes matters worse.