Regulation

Who would've thunk it?

Many Wall Street experts think that the JOBS Act will fundamentally change the hedge fund industry. But will it lead to the consolidation of existing funds and the creation of others?

Programs to strengthen bank liquidity, facilitate credit and buy mortgages were good moves, though it is hard to say how much worse things would have been in their absence, Federal Reserve Board Chairman Ben Bernanke said at the Jackson Hole summit.

Romney wants to make it easier for Congress to veto the proposals from regulators, and he vows to put a cap on new regulations. Both plans could have a big impact on financial regulation.

Our legal analyst explores one state's new rules on employment agreements.

Suitability infractions were the most common source of FINRA's disciplinary actions

In a litigious era, planners need to be able to prove that they proceeded prudently.

Instead of fighting against bad proposals, shouldn't the RIA community be proposing better alternatives?

The two Republican members of the Securities and Exchange Commission said they are not opposed to further reform of the money fund industry, but that changes advocated by Chairman Mary Schapiro "were not supported by the requisite data and analysis.''

Late on the evening of August 23 Chairman Mary L. Schapiro decided to punt on the biggest issue of the year for the investment fund industry.