Tom Steinert-Threlkeld

Chairman Mary Jo White told the general membership meeting of the ICI that the SEC will “propose meaningful money market reform.’’ And that developing its next round of reform measures will be made with international regulation in mind.

SEC chairman Mary Jo White made no comment Friday on what new reforms for the money market fund industry will come out of her administration, except that its proposal will be “appropriate and balanced.”

ICE is smaller but more profitable. The combined company would operate globally, in trading of equities, futures, options, credit-default swaps, and interest-rate products as well as clearing.

Mutual funds may have tough times ahead, in remaining the investment of choice for a new generation of Americans. Their bread and butter: Older investors. Their weak spot: Investors under 35.

For the better part of two years, Mary Schapiro told anyone who would listen that the federal government could not afford another bailout and that the money market mutual fund industry would have to backstop itself.

Has the bloom come off the inverse and the leveraged exchange-traded fund? "I think it really has," said Michael Rawson, ETF analyst for Morningstar.

The New York Stock Exchange and other national stock markets are starting to plan to open for trading on Wednesday, as they work through the second day of darkness due to Hurricane Sandy.

The federal regulator late Monday adopted a rule that establishes standards for how clearing agencies should manage risks and run their operations.

SIFMA chief executive Tim Ryan said at the trade group’s annual meeting that the commodity futures regulator’s plan to oversee swaps made by foreign firms with U.S. participants breaks from international standards.

The pullout from domestic stock funds continued last week, to the tune of $3.7 billion. But bond funds got another big influx.

Wells Fargo & Co. agreed to settle charges that its brokerage and a former vice president sold securities it didn't understand to municipalities, non-profit organizations and other customers.

Consolidated U.S. equity volumes are at four-plus year lows, according to Raymond James Research. Volume in July was 11% down from June and 13% from a year ago.

The Swiss financial services firm said it suffered $357 million of losses from "the gross mishandling of Facebook's market debut" by Nasdaq OMX Group and that it will "pursue compensation for the full extent of our losses."

On a 3-2 vote, the federal regulator charged the nation's 13 exchanges and the Financial Industry Regulatory Authority to come up with a workable system for keeping track of all options and stock activity, before the start of the next trading day.

The former SEC enforcement lawyer who later tried to defend convicted Ponzi scheme operator Allen Stanford has been blocked from practicing before the commission.

The Financial Industry Regulatory Authority reviewed enforcement case trends at its annual conference in Washington, D.C. this week. Here are 25 top cases from its files.

Whether it's Facebook, Twitter or LinkedIn, financial advisors need a handy resource to keep them abreast of all the latest rules and trade secrets to capitalize on the social media frenzy without running afoul of the regulators. Here's everything wealth managers need to know.

When it comes to financial planning advice in the social media arena, less is almost always more. Here's what wealth managers need to do (and not do) to service their clients while staying within the regulatory boundaries.

Seven tips come in daily under the program that started in August. Thomas Sporkin, director of market surveillance at the SEC, says two to three each day are high quality.

The company has listed five exchange-traded funds on the London Stock Exchange.