Regulation

BlackRock’s chief executive officer has warned the retreat of banks as counterparties in credit will create severe volatility. Regulators are preparing new rules for mutual funds to ensure that a sudden stampede out of funds won’t result in a downward price spiral that threatens the financial system.

The president used his annual speech before Congress to defend Dodd-Frank while pleading that lawmakers pass cybersecurity legislation.

Federal authorities are considering expanded regulation of large mutual fund companies, a move that opponents say threatens to bleed value out of the fund industry and aims to solve a problem that doesn't exist.

A group of nine fund managers is said to be planning to start a dark pool dedicated to large stock trades later this year. The new market -- named Luminex -- will admit asset managers who bet on prices to increase, sources said.

Here's what the brokerage industry's disinformation-mongers might be telling senior brokerage executives.

As additional regulations are anticipated this year, the industry is beginning to aggressively seek to defragment the technology, data and services most critical to improving business performance and reducing operational and reputational risk.

In laying out exam priorities for 2015, regulators cite mounting complexity of products and services in the retirement space.

Judge has yet to rule on board's request for summary judgment; if granted, the parties would avert trial.

Anastasios "Tommy" Belesis, the former head of John Thomas Financial, was barred from the brokerage industry for life by FINRA for trading ahead of clients' orders.

The IRA contribution limit in the U.S. is $5,500; Canada's limit is $20,000. If an investor is willing to put away that much money, why not allow it, one write asks.