Regulation

The regulator's staff will investigate nondisclosures, misrepresentations, and more.

Changes for in-plan conversions are buried deep in the fiscal cliff tax deal. Here's how they may affect your clients.

Ex-Morgan Keegan Mutual Fund Directors to Settle SEC ClaimsEight former Morgan Keegan & Co. mutual-fund directors agreed to settle U.S. regulatory claims that they allowed assets backed by subprime mortgages to be overvalued as the housing market collapsed in 2007.

Manulife Asset Management has expanded its equity investing capabilities.

Eight former Morgan Keegan & Co. mutual-fund directors agreed to settle U.S. regulatory claims that they allowed assets backed by subprime mortgages to be overvalued as the housing market collapsed in 2007.

Massachusetts-based financial advisors could soon have to submit to a criminal background check under a proposed reform to the registration process in that state.

The House Ways and Means Select Revenue Measures Subcommittee held a hearing this week to discuss possible tax reforms on financial products such as derivatives.

Norm Champ, director of the Securities and Exchange Commission's Division of Investment Management, last week took the first steps in meeting and speaking with members of the Investment Company Institute.

PALM DESERT, Calif.-Norm Champ, director of the Securities and Exchange Commission's Division of Investment Management, last week took the first steps in meeting and speaking with members of the Investment Company Institute.

Collaboration between the Division of Enforcement and the Office of Compliance Inspections and Examinations at the Securities and Exchange Commission "really is very seamless," according to OCIE director Carlo V. di Florio.