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The SEC is reviewing whether certain alternative mutual funds that mimic riskier hedge-fund strategies are complying with leverage and liquidity rules.
To prevent future Madoffs, the SEC's first investor advocate says the agency needs to persuade Congress for enough money to examine more than just 9 percent of RIAs annually.
SEC Commissioner Luis Aguilar says some executives are rewarded handsomely for failure.
A Manhattan District Court judge granted an SEC order sought against a man accused of operating a massive five-year “pump-and-dump” scheme using penny-stock Web sites.
Randy Schneider, who accepted a plea bargain, was described as a "common thief in a business suit" by the state's acting attorney general.
Economists at a broad swath of U.S. businesses expect their firms will ramp up capital investments over the next year, a positive sign for the long-term economic growth outlook.
The SEC is weighing a requirement that brokers tell investors exactly where their stock trades go to be executed.
A financial advisor in New York City has been accused by the CFTC of running a fraudulent commodity pool.
The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.
The civil engineer's loss on a Credit Suisse exchange-traded note (ETN) shows why banks are being pressured by the SEC to beef up disclosures on the products.
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Financial advisors are uniquely qualified to play a central role in the divorce process, yet they have failed to adequately market themselves to divorce lawyers, says this attorney. + Read more
Some six months into their new jobs at a Wall Street bank, two young, overworked and stressed-out financial analysts were having their second beers and discussing the best ways to literally kill themselves at work. + Read more