Regulation

Derek Bruton takes the top job at a firm with historical ties to an advisor that the SEC has barred from the industry.

Board pledges not to punish widely followed advisor while they try to resolve fee-only compensation issue; draws accusations of 'arbitrary' treatment.

UBS is facing more than $600 million in damage claims filed by Puerto Rico investors in closed-end bond funds, the bank said in its second quarter earnings report Tuesday.

UBS AG said the U.S. Securities and Exchange Commission has been investigating its dark pool since early 2012, the first time the Swiss bank has acknowledged the probe now in its third year.

Can Social Security benefits be seized by collectors; Key numbers to know for a successful retirement; Costly mistakes to avoid

Do you have the best or worst 401(k) plan; 7 deadly sins of retirement; How to avert a Casey Kasem-type drama

New rules will require institutional prime funds to allow NAV to float to market value.

After being ordered to stop calling his firm fee-only, Rick Kahler claims retribution and threatens a lawsuit.

The only person convicted of fraud related to a $20 billion government bail-out program, Jesse Litvak may spend almost a decade in prison for lying to his customers about mortgage-backed securities.

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account. That is about to change for the riskiest of the funds.