Investment advisors could eventually have a national self-regulatory organization akin to the Financial Industry Regulatory Authority soon, if draft legislation introduced by an Alabama Congressman becomes law. But it will not come without a fight.

The Securities and Exchange Commission is in the early stages of a major examination into the operations of hedge fund companies and investment banks that engage in high-frequency trading.

The Securities and Exchange Commission said it will seek public comment on a plan to conduct retrospective reviews of its existing regulations.

WASHINGTON — Although Federal Reserve Board officials promised to unveil a long-awaited package of key Dodd-Frank rules by the end of the summer, the central bank is likely to need more time to complete them.

Although Federal Reserve Board officials promised to unveil a long-awaited package of key Dodd-Frank rules by the end of the summer, the central bank is likely to need more time to complete them.

A Financial Industry Regulatory Authority arbitration panel has ordered Wedbush Inc. and one of its former brokers to pay $2.9 million in damages and fees to an elderly investor who allegedly fell victim to a faulty investment scheme.

Bank regulators have long kept state officials at arm's length. But the Consumer Financial Protection Bureau is forging close relationships with state attorneys general to enforce consumer banking laws.

The legislation may be a hit or miss, depending on whom you ask. What's good in this mixed bag for advisors and what should they be mindful of?

How to make the most of professional relationships without running afoul of regulations.

Section 165 has yet to happen but it should have the biggest impact.

The Securities and Exchange Commission is seeking public comment on the use of derivatives by mutual funds over the next 60 days after publication in the Federal Register. If it determines that new regulations to protect investors are necessary, the SEC will consider passing and enforcing them.

A bad day for financial engineers in Chicago continued Wednesday, when the Securities and Exchange Commission said the assets of a quantitative trading firm were frozen.

Compliance professionals don’t think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).

Compliance professionals don’t think the Dodd-Frank Wall Street Reform and Consumer Protection Act will lead to a significant increase in compliance spending this year and they expect more money will be allocated to technology rather than education and consulting, according to a new study conducted between March and April by National Regulatory Services (NRS).

A former Morgan Stanley Dean Witter stockbroker was sentenced this week to almost five years in prison and ordered to pay his former employer $1.5 million in restitution in connection with fraud charges.

Broker-dealers don’t have to track every message sent through social media -- only ones that relate to business purposes. And unscripted interactions? They can be reported after they occur.

The Securities and Exchange Commission has approved the creation of an interim inspection program related to audits of brokers and dealers.

The Securities and Exchange Commission has approved the creation of an interim inspection program related to audits of brokers and dealers.

A senior employee known as an aggressive workaholic, but who seems stressed, yet rarely takes vacations, declines promotions and zealously protects his business unit from outside scrutiny while personally handling choice vendors may be up to something devious.

A former managing director of the Nasdaq Stock Market was sentenced today to 42 months in prison by a federal judge in Virginia.