Regulation

The passively managed fund will be made available to qualified purchasers through family offices, RIAs and other institutions, a person familiar with the matter says.

Previously, criteria focused on an investor’s wealth. Now, a broader group has access to investments that include private company offerings and certain private equity funds.

Lower transaction costs can often come with higher expense ratios at the nation’s largest IBD.

More than 95% of comment letters submitted were opposed to the Labor Department’s proposed rule, according to a new analysis.

From regulations to taxes, big changes could be in the offing.

It’s the latest dramatic twist in the story of USO, which was at the center of the storm as crude prices plunged earlier this year.

The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.

Yes, they’ll be going up in September — but not as much as you may have heard.

With employees working remotely, firms may need to adapt their procedures to deal with heightened fraud risks outside of company systems.

The executive shuffle at the company continues as Credit Suisse America’s Paula Dominick is hired to replace Mike Roemer as chief compliance officer. It also hired or promoted four line-of-business chief risk officers and an enterprise testing leader.