Regulation

Risk aversion is what everyone thinks about first, and getting the lawyers involved is what everyone thinks about second.

See which independent broker-dealer boasts a compliance staff of more than 500, and which top firms have fewer than 100.

Federal Reserve Chair Janet Yellen’s speech Friday was hawkish enough for Goldman Sachs to boost the odds of a September interest-rate increase, while Pimco said there was nothing of note in her remarks.

A lawyer for the bank had argued in a federal court that the severance proposal was a confidential settlement offer that shouldn't be public.

These investment advisories paid the price for passing along performance data faked by a third-party manager.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The agency also proposed a rule to permit cities to create their own savings plans.

Weeks of conflicting economic reports have whipsawed money managers overseeing about $6 trillion, including Pimco and Vanguard Group.