One topic under alleged examination is the monthly process through which prices of the benchmark’s futures contracts are calculated.

Miguel Ballestas was discharged from the firm after allegations of insider trading.

Financial advisors should immediately contact clients with prenuptial agreements to see if they’re impacted.

State regulators and the No. 1 IBD struck a settlement after investigators found the firm guilty of negligence and a failure to supervise.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.

The commission's frequently asked questions come six weeks ahead of the deadline to self-report placing clients in high-fee share classes.

The firm is prioritizing its most productive advisors after shedding some 30% from its headcount.

Allegations of undisclosed private securities transactions by a former advisor followed two significant mutual fund cases involving the IBD network’s practices.

Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.

The effects are looking like "every other much-hyped tax cut of the past three decades.”

Critics say SEC efforts to regulate advisor titles could produce a game of whack-a-mole, as non-fiduciary financial professionals adopt other terms intended to blur lines.

FPA leaders say they are sounding out members and looking at where the proposals may fall short of needed investor protections.

The funds paid for multiple vehicles, bedroom furniture and debts at casinos, prosecutors say.

The influential retiree advocacy group filed for a 17-judge review of the decision.

The products have grown in popularity after undergoing significant changes in recent years.

Wall Street whistleblowers just got another reason to take their gripes directly to the SEC.

New legal analysis suggests that the rules would add "teeth" to broker-dealer regulation.

The firm’s headcount declined slightly in the quarter, but advisors’ productivity remains strong and growing.

Holiday parties and team-building outings may still be deductible. What about entertaining prospects over dinner?

Although annuities incur taxes and costs, clients "can invest the same amount into a diversified municipal bond portfolio and pay no taxes,” an expert says.