Regulation

Leaders of the Financial Services Institute expressed cautious optimism about their efforts to dilute or derail an initiative under way at the Department of Labor to broaden the scope of the term "fiduciary," a top policy priority for the advocacy organization.

Morgan Stanley Investment Management agreed to pay $3.3 million in a case involving billing for subadvisory services in Malaysia that the SEC said were not rendered.

Regulators implementing the Dodd-Frank Act are writing massive, complicated rules that corporations will maneuver to exploit and federal examiners will struggle to enforce

Investors and financial executives are increasingly feeling overloaded by the volume and complexity of financial disclosure information in annual reports and other financial filings, according to a new study.

UBS Financial Services Inc. was fined $300,000 by FINRA for failing to supervise and prevent excessive cross-trading of municipal securities between the customer accounts of one broker for a two-year period.

The Chase unit recommended risky investments to unsophisticated investors with little or no risk tolerance, FINRA said.

So it is coming down to this: a capital buffer or a floating net asset value.

The SEC has accused Chetan Kapur, a manager of a fund of hedge funds, with deceptive conduct in investing in hedge funds that are either Ponzi schemes or fraudulent.

So it is coming down to this: a capital buffer or -- hold on to your portfolio P&L -- a floating net asset value.

In the wake of the financial meltdown of 2008, an increasingly persistent attack on money market mutual funds is underway. Present and former high government officials, academics, and some editorial writers have joined the fray, each offering their own approach for reengineering the money fund industry.