Practice

Some transaction participants appear to be rushing to market questionable Build America Bond, bank-qualified or other municipal bond deals before tax incentives expire at the end of the year and risking Internal Revenue Service enforcement action for violations of tax requirements, according to market sources.

The Securities and Exchange Commission Monday proposed a lengthy new rule to establish a permanent registration system for municipal advisory firms as well as individual advisers that would replace a temporary system for firms the SEC put in place in September.

Dreyfus and Merlin Securities equip wholesalers and hedge fund customers with iPads.

The law firm approved the appointment of the former Comptroller of the Currency on Monday to chair the firm's financial institutions group and to advise clients on ...

If you want to know why the ABA blames the ICBA for undercutting the industry's lobbying on regulatory reform legislation, you have to start in Nebraska.

Forty percent of the 14.8% of plans that suspended or reduced their matches already have restored them, the Profit Sharing/401(k) Council of America finds.

The Financial Services Authority has fined a former executive from Toronto Dominion Bank $1.2 million for intentionally mispricing trading positions in credit derivatives to cover his losses and banned him from working in the financial services industry.

The Depository Trust & Clearing Corp. announced Monday that it has enhanced its Cost Basis Reporting Service to act as a central hub between all financial intermediaries—broker-dealers, transfer agents, issuers, mutual funds and custodian banks.

There are steps to take right now to improve your business in 2011

Goldman Sachs plans to aggressively expand its wealth business by hiring up to 200 additional advisors.