House Financial Services Committee

Both were adamant with House Democrats that their businesses have helped small-time investors access markets that were long the domain of Wall Street.

Regulators and Washington policy makers are sure to up scrutiny once the dust settles on the market turmoil that has buffeted GameStop and others.

“Wells Fargo does not appear close to putting its Washington troubles behind it,” Cowen analyst Jaret Seiberg wrote in a note.

The requirement is back in the spotlight as consumer advocates and business interests face off on proposal to outlaw this key provision of customer agreements.

The chairwoman of the House Financial Services Committee said Tim Sloan's resignation as CEO was "long overdue" but that other executives and directors should be removed as well.

House Financial Services Chairwoman Maxine Waters said the merger is a direct result of a regulatory relief bill that was signed into law in May.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

The midterm elections virtually eliminate the chance that progress will be made on financial services legislation.

The presumptive chair of the House Financial Services Committee will likely take the panel in a sharply new direction and have a new bully pulpit to criticize the Trump administration.

The focus since the 2016 election on easing rules, tax cuts and expanding access to credit is about to be turned on its head.

Several Senate, House and gubernatorial battles are of interest to financial firms. Here is a spotlight on specific contests, with updates as they become available.

The securities and investment industries have switched parties when it comes to spending ahead of the Nov. 6 midterm elections.

The bank continues to battle a series of negative headlines such as erroneous foreclosures, but public and investor reaction has been muted.

The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.

Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.

Co-chiefs of the SEC’s Division of Enforcement tout a program aimed at repaying investors for excessive mutual fund fees as a new approach to curbing industry abuses.

The legislation, opposed by most major asset managers, would repeal a requirement that the riskiest funds allow share value fluctuations.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

A new bill would go further than past attempts to block the Labor Department altogether.