Regulation

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.

A new report on FINRA's 2012 actions suggests the self-regulatory body is getting tougher.

At the outset, the U.S. Supreme Court's latest ruling against the Securities and Exchange Commission-that there is a five-year limit on bringing fraud claims- may sound like a victory for mutual funds and their advisors.

At the outset, the U.S. Supreme Court's latest ruling against the Securities and Exchange Commission-that there is a five-year limit on bringing fraud claims- may sound like a victory for mutual funds and their advisors.

Mary Jo White, President Obama's nominee to chair the SEC, faced little resistance at a Senate confirmation hearing as she said that, if confirmed, she intends to move swiftly to close the book on an array of rules that advisors have been watching closely.

Mary Jo White, President Obama’s choice to run the Securities and Exchange Commission, may be compelled to provide more information about her ties to large banks as senators press her about how she would operate as Wall Street’s regulator.

Oppenheimer & Co. agreed to pay about $2.9 million to settle claims by the U.S. Securities and Exchange Commission that it misled investors in a private-equity fund.