Regulation

Through less promotional posts, advisors may be able to avoid the red tape.

PALM DESERT, Calif – Is the Financial Stability Oversight Council out to undermine the Securities and Exchange Commission’s “role, independence, and democratic process”?

The general counsel for the advocacy group that represents the investment fund industry said Monday that financial transaction taxes harm investors, retirement savers, market operations, economic growth and investment returns.

Wells Fargo CEO John Stumpf said banks are no longer "too big to fail," and admonished fellow bankers to accept the existence of the Consumer Financial Protection Bureau.

Last year, Karrie McMillan led off the first day of the Investment Company Institute's annual mutual funds conference with a stinging takedown of the Securities and Exchange Commission's treatment of the industry.

The investment management industry is undergoing a transformation.

Regulatory reform will take center stage at the Investment Company Institute's 2013 Mutual Funds and Investment Management Conference that starts today in Palm Desert, CA.

The minutes from the most recent Federal Open Market Committee meeting have been poured over by countless pundits who have shown the same level of consensus that Congress has on the sequester.

The Securities and Exchange Commission today published a guidance update to clarify what mutual funds and other investment advisors can say on their social media sites.

As the Securities and Exchange Commission's enforcement and litigation activity in 2012 demonstrates, the agency's focus on municipal market enforcement has increased dramatically, and this trend seems likely to continue under the SEC's new leadership.