Compliance

The SEC has approved the MSRB's proposal to simplify its rules on professional designations by limiting the activities of some dealer representatives and eliminating one of its professional designations.

President Obama became the latest policymaker to wish he could make the regulatory system simpler and more efficient. Yet there are powerful reasons why it will never happen. Here's why.

After being forced to produce extensive records, the board hopes a judge will similarly order two planners to produce voluminous documentation.

The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.

The Fed is trying to change as little as possible as it crafts its strategy to exit from record stimulus. The trouble is financial markets have changed so much that the still-developing plan may prove costly and ultimately unworkable.

Sens. Sherrod Brown, D-Ohio, and David Vitter, R-La., continued to press their case over "too big to fail" in the wake of a new government report that raises fresh questions about the size of a market subsidy for the largest institutions.

Most bankers expect to see deposits flow out of their coffers next year if interest rates rise as expected, and some are starting to estimate how many. Whether the trend is good or bad depends on each bank's specific situation, but everybody has to get ready.

4 reasons not to panic about Social Security; The role of bonds in a portfolio; Education trumps retirement for single parents, and that's a cause for concern

Derek Bruton takes the top job at a firm with historical ties to an advisor that the SEC has barred from the industry.

Board pledges not to punish widely followed advisor while they try to resolve fee-only compensation issue; draws accusations of 'arbitrary' treatment.

UBS is facing more than $600 million in damage claims filed by Puerto Rico investors in closed-end bond funds, the bank said in its second quarter earnings report Tuesday.

UBS AG said the U.S. Securities and Exchange Commission has been investigating its dark pool since early 2012, the first time the Swiss bank has acknowledged the probe now in its third year.

Can Social Security benefits be seized by collectors; Key numbers to know for a successful retirement; Costly mistakes to avoid

Do you have the best or worst 401(k) plan; 7 deadly sins of retirement; How to avert a Casey Kasem-type drama

New rules will require institutional prime funds to allow NAV to float to market value.

After being ordered to stop calling his firm fee-only, Rick Kahler claims retribution and threatens a lawsuit.

The only person convicted of fraud related to a $20 billion government bail-out program, Jesse Litvak may spend almost a decade in prison for lying to his customers about mortgage-backed securities.

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account. That is about to change for the riskiest of the funds.

FINRA takes more than a year to follow up an advisor's written testimony.

As the Dodd-Frank law turns four years old, policymakers appear increasingly willing to revisit a key requirement that says banks with $50 billion of assets are systemically risky.