Regulation

Even as the SEC decided last month to put alternative mutual funds under the regulatory microscope, the investments are in a growth period as asset managers who offer the products seek to market their advantages to advisors and investors.

Two days after Apple unveiled its attempt to advance mobile payments, CFPB Director Richard Cordray cited the burgeoning field as a key area of concern his agency needs to examine.

Supporters of a broader and more rigorously enforced fiduciary standard are rallying behind a set of best practices they would like to see advisors and brokers incorporate into their practices.

Applying your fantasy football skills to retirement savings; 7 fatal flaws in America's 401(k) plans; 3 steps to protect your portfolio in the next market crash

FINRA has promoted one of its own to head the regulator's disciplinary unit, but still has no replacement for Linda Fienberg's other role as head of arbitrations.

The financial services sector as a whole is chasing short-term gains and in the process saddling investors with the costs of higher trading volumes and often not acting in their best interests, says Vanguard founder John Bogle.

Banc of California has announced extensive community reinvestment goals as part of its planned purchase of 20 Banco Popular branches in Southern California. The agreement, which appeased a community group that had opposed the sale, shows how much power such organizations wield when it comes to M&A.

What you need to know about IRAs and trusts; The easy solution to our retirement savings crisis; Prepare to retire with a gift annuity

Advocates are calling on the head of the SEC to move forward with a uniform fiduciary proposal, even if that means pushing the rules through a divided commission split along party lines.

Linda Fienberg, the head of FINRA's contentious dispute resolution division, will step down from the organization at the end of November.