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.
Midsize advisory firms that haven't moved to state regulation have until Dec. 17
A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.
One of the staunchest opponents of legislation that would shift regulation of investment advisers from the Securities and Exchange Commission to an industry group is declaring victory — for this year.
Expert says it might be best way to shatter ossified political positions
