Regulation

The advisor allegedly used client money to buy a $3.35 million beach resort being developed by a relative.

The new process will be partially electronic, the proposal suggests, to eliminate current deficiencies and delays.

The Public Company Accounting Oversight Board has voted to issue for public comment a proposed auditing standard on related-party transactions, and to amend standards on significant unusual transactions and auditors of broker-dealers.

An arbitration panel shot down a claimant’s request for up to $2.9 million for allegedly botched investments tied to private placements and Ponzi schemes last week, and instead ordered her to pay almost $136,000 in costs and expert witness fees.

Three big-name mutual fund shops, including Fidelity Management & Research Company, State Street Corporation and Federated Investors, are warning the Securities & Exchange Commission that eliminating the fixed $1 price of fund shares will scare away many investors who want some minimum level of value stability in their assets.

Three big-name mutual fund shops, including Fidelity Management & Research Company, State Street Corporation and Federated Investors, have a few choice words for the Securities & Exchange Commission about more money- market regulations.

Here’s an interactive slide show detailing the best investment ideas for this election year from seven financial advisors practicing throughout the country.

Our legal expert discusses a new calculation by the SEC.

U.S. officials see Foreign Account Tax Compliance Act as a significant undertaking for financial institutions.

Here’s an interactive slide show detailing the best investment ideas for this election year from seven financial advisors practicing throughout the country.