Regulation

Chicago-based RiverNorth Capital Management is hoping to launch the first closed-end mutual fund focused on the marketplace lending sector.

After some disappointing numbers from the first half of this year, Yellen may have concluded that she needed more time between June and September to be comfortable that the economy had regained sufficient momentum.

JPMorgan sued six former executives who defected to rival Morgan Stanley, seeking a court order blocking them from enticing clients to follow.

Antitrust officials at the Justice Department are investigating trading related to Treasuries, people familiar with the matter said earlier this month, without specifying what sorts of trades are drawing scrutiny.

Making the choice is particularly difficult if the advisor faces possible termination.

Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.

The fiduciary rule proposed by the Labor Department this spring is taking up most of the spotlight.

Bad retirement advice forced a woman to take a job earning little more than minimum wage to make ends meet, her lawyer says.

The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says.

Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.