Regulation

The Securities and Exchange Commission (SEC) could be hampered down in conducting oversight and regulatory actions granted back in 1934 thanks to a new bill that passed through the House Financial Services Committee yesterday.

Here are 10 global investment predictions for 2012 that advisors and their clients should be monitoring through the rest of the year.

Going forward, investment advisors will no longer be able to include the value of an investor's home in a new $1 million minimum of investable assets now required to charge performance fees, according to the SEC, which is tightening its rule around fees.

What terms will you need to get familiar with as clearing of what can be considered exchange-traded swaps starts up? Here’s one answer, in a gallery of key acronyms.

Seventeen muni groups are urging members of Congress to reject President Obama's proposal to place a 28% cap on the value of tax-exempt interest, warning it will hurt the market and that its retroactivity will reverse nearly 100 years of legislative history.

NYSE Technologies, the commercial technology unit of NYSE Euronext, has launched a post-trade monitoring tool for compliance officers.

A year ago, the firm’s more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.

A year ago, the firm’s more than 4,000 advisors in the United States had to manually submit each post in advance for review. Now, Raymond James Financials has automated the compliance and publishing process, to speed up communications with customers.

The 30th Annual National Investment Company Service Association Conference & Expo opens Monday, with the intent of helping fund companies learn how to be “Engaging Investors in a Hyper-Connected World.’’ Here’s an introductory look.

The Department of Justice announced that it filed a notice with the U.S. District Court for the District of Columbia to dismiss its antitrust lawsuit regarding the potential merger of Deutsche Boerse AG and NYSE Euronext.