Regulation

Prosecutors in the insider-trading trial of a former SAC Capital Advisors LP fund manager can tell jurors that he was greedy, not that he fainted in front of FBI agents or was fired from his job, a judge ruled.

Are your funds' compliancee processes up to par?

George Canellos, who played a key role in the SEC's efforts to punish misconduct related to the 2008 financial crisis, is leaving the agency after more than four years.

Brokers selling higher-fee investments like non-traded real-estate investment trusts and derivative-backed structured notes may get more scrutiny this year after those markets grew in 2013.

Regulators are hoping to release an interim final rule next week designed to satisfy banker demands to change a provision of the Volcker Rule that threatens to force smaller institutions to take millions of dollars in write-offs.

FINRA has identified the suitability of the bonds of distressed municipalities for investors, as well as municipal advisor activity, as areas it will focus on in 2014.

The legal battle over the application of the Volcker Rule is unlikely to be resolved until mid-January.

Morgan Stanley said ex-broker Wilhelm Nash left before earning out bonus.

An arbitrator wants client records. What should you do?

The tax increases that took effect in 2013 should now be part of long-term planning because they aren't going away anytime soon.