Regulation

The ill-timed Alibaba trades add to the hedge fund industry’s woes as some of its biggest and best-known firms lose assets amid souring investor sentiment.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

A state court judge handed a partial victory to Gross in his document quest, while also placing limits on the information that Pimco must turn over.

Bats handles about a quarter of ETF trading volume in the U.S., giving CBOE a significant beachhead.

Even as more planners see opportunities in the rule, a large cohort are reconsidering their careers.

The industry organization also recognized the innovative work of money management firms at the 14th annual NICSA/NOVA awards last week in Boston.

The firms sent letters last week praising the Financial Stability Board for shifting its scrutiny of the industry to specific trading activities.

While employed at Huntington National Bank, the broker recommended a couple invest $350,000 — the bulk of their net worth — in two unit investment trusts, according to FINRA.

The SEC's allegations against David Paterson were tied to a proposal to build the largest movie studio in North America.