Regulation

Brokers who hold investors’ assets will have to file quarterly reports attesting to compliance with measures toprotect customer money and securities under rules adopted by the U.S. Securities and Exchange Commission.

A district court judge delivered a blistering rebuke of the Federal Reserve Board on Wednesday, tossing out a central bank rule that caps debit card transaction fees and saying the central bank exceeded its authority.

Our legal expert discusses how to make sure you're getting your due in commissions.

A recent CFP Board sanction highlights the challenge for planners in identifying where they stand amid the range of compensation models.

Everyone agrees that the current mishmash of legal oversight doesn't work. Here's a framework that could clean up the mess.

Federal prosecutors brought criminal charges against SAC Capital on Thursday. Dubbing SAC “a veritable magnet of market cheaters,” authorities argued that the company allowed a “systematic” insider trading scheme to play out between 1999 to 2010. It is deemed that the scheme generated profits for the firm in the hundreds of millions of dollars.

While the regulatory reform effort is likely to continue on its current path if Janet Yellen, the Federal Reserve Board's vice chairman, is tapped to lead the central bank, the future is decidedly murkier if Larry Summers wins the post.

The Municipal Securities Rulemaking Board will issue two concept releases next month, one seeking public comment on whether to develop a best execution rule and another requesting input on enhancing post-trade data reporting and developing standards for collecting and disseminating pre-trade information.

Since 2008, investors have sought new investment strategies less affected by market downturns. At the same time, many hedge fund managers who survived the collapse with positive returns are looking to expand their offerings to the retail market. Adding budget cuts and new regulations to the mix creates a recipe for potential problems.

Increased demand for due diligence on hedge funds-if not for the funds themselves-may be the initial impact of the Securities and Exchange Commission's recent ruling lifting an 80-year-old ban on advertising for private offerings.