Regulation

FINRA began its inquiry after the Credit Suisse-managed VelocityShares Daily 2x Short-Term exchange-traded note, or ETN, lost half its value in just two days earlier this month.

Hedge fund managers are increasingly nervous about getting a knock on the door from U.S. securities regulators now that a new rule that requires them to register as investment advisors and provide lots of data about their inner workings takes effect Friday.

A former Bank of America Merrill Lynch financial advisor and a 'business associate' were hit with a federal criminal complaint that they fraudulently wired $2.2 million from an account of the Indianapolis Colts' defensive end.

Financial services firms admitted that they invited negative public perception by their actions, or inactions, according to the 2012 Makovsky Wall Street Reputation Study.

iShares has filed paperwork with the Securities and Exchange Commission to launch a frontier market exchange-traded fund.

In order to make better financial decisions, investors need simple, easy-to-understand disclosures written in plain English and provided before they hire a planner, the CFP Board recommended to the SEC.

The SEC is focusing on computer-driven exchanges, including BATS Global Markets, as platforms for high-frequency trading firms to gain an unfair advantage over other investors.

The more than 1,300 registered representatives and financial advisors at Ameritas Investment will now be able to breathe easy as they tweet.

Here is the three-part playbook to consult, as advisors and brokers get serious about communicating through social media.

A series of victories by Morgan Keegan & Co. is calling into question who can be considered a "customer" in securities arbitration cases.