Regulation

The Securities and Exchange Commission last month promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director

The Securities and Exchange Commission's municipal bond office has sent a so called "no-action" letter to NetRoadshow Inc., paving the way for the firm and its underwriter clients to present Internet-based "road shows" on municipal bond offerings to retail investors.

The regulator will collect about $800,000 in fines for stock and options trading and trade reporting violations at over a dozen brokerages, according to the regulator's January disciplinary actions report.

Stadion Money Management has found itself a new distribution partner.

Mary Jo White, a former prosecutor and defense lawyer, is sometimes referred to as Attila the Hun by her peers.

Advisors may be able to erase mark against them from disputes in which they were not directly named.

Advisors could see talks on oversight and a fiduciary standard move forward this year.

Financial advisors may have breathed a sigh of relief after lawmakers reached a deal to avoid the fiscal cliff, but the next several weeks will bring more debate, and potentially more turmoil, over big-ticket budget items that could dramatically alter the strategies you recommend to clients.

Using its muscle to influence the debate as federal officials gear up to establish tighter regulations on the advisory world is the Financial Services Institute’s top priority this year, organization executives said Tuesday at the group’s annual conference.

A U.S. judge said the Internal Revenue Service can demand information from UBS AG about U.S. clients of Wegelin & Co., the Swiss bank that pleaded guilty this month to conspiring to help cheat the IRS.