Regulation

The Securities and Exchange Commission will revisit 12b-1 fees in July, potentially putting a cap of 25 basis points on them and renaming them to clearly indicate their use for marketing purposes, said SEC Commissioner Elisse Walter.

Emotions are mixed near the site of Sept. 11.

For the financial services industry, for Wall Street, the impact has special meaning.

With the deadline to register with the Securities and Exchange Commission less than three months away, consultants and other hedge fund experts are urging fund managers to get ready-and fast.

Brokerage firms will likely step up their own diligence when it comes to private placements

Our legal expert answers your questions about interstate licensing.

The CEO and executive director of the Investment Management Consultants Association (IMCA) shares his thoughts on his organization's changing population.

A federal judge in Orlando, Fla., has permanently barred Richard Goble, president of a defunct clearing firm and a critic of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.

A FINRA arbitration panel awarded $1.76 million to an investor group who participated in Madoff feeder fund Rye Select Broad Market Fund and other investments.

A federal judge has permanently barred Richard Goble, president of a defunct clearing firm and a one-time member of the board of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.