The SEC says it is targeting senior management in its reviews of brokerages and advisory firms.
Democrats and Republicans are headed for a big blowup over taxes — and the treatment of capital gains could be what sets them off.
The latest round of budgetary brinksmanship recalls a similar government flirtation with financial calamity
Schumer lacks specifics of tax plan; Republicans balk
Judge Jed Rakoff, the scourge of Wall Street, presses for accountability
SRO legislation on top of the list but little action expected until '13
FPA President Paul Auslander vows to lead by example in Florida; few will follow
A look at the ICI's predictable argument
The SEC's plan to let hedge funds advertise Reg D offerings isn't sitting well with the retail fund industry. Here's why.
Pressing concern over alternate tax might drive the parties toward a compromise by year-end
A deal to extend the alternative minimum tax patch on Thursday could be a harbinger of a broader attempt to change the tax code.
Any initiative that reduces investors' vulnerability to fraud, and thereby strengthens their confidence in the markets, is a step in the right direction.
State lawmakers are chipping away at securities firms' ability to monitor employee activity on social-media sites, which could cause compliance headaches for both firms and regulators.
The securities industry in California is up in arms over a bill that would ban employers from requiring employees to hand over their social media passwords.
