Regulation

For most of the past year, the status of a uniform fiduciary standard for brokers and investment advisors might be summarized as, “Don’t hold your breath: the SEC has higher priorities.” But an important event last week may serve as an impetus to move this long-simmering issue forward.

Bank of America, the second- biggest U.S. lender, agreed to pay government-backed Freddie Mac $404 million to resolve mortgage-repurchase claims.

Can broker-dealers legally force reps to purchase E&O insurance?

Identifying problem transactions immediately can help keep you off the witness stand.

The regulator may make it harder for some brokers to clear their name.

JPMorgan Chase’s reported attempt to get the FDIC to pay part of its settlement with the government is yet another chapter in a long-running dispute over the 2008 resolution of Washington Mutual.

Challenges to social media protocols by employees fired for violating them are succeeding with increasing frequency.

The top U.S. derivatives regulator gave Wall Street two months to abide by a new policy imposing Dodd-Frank Act rules on banks when they arrange trades domestically and then book them overseas.

November's hot stories were a wide ranging lot. Check out this month’s big winners.

A former employee at an Ohio branch of U.S. Bancorp pleaded guilty Friday to charges that he accepted $24,000 in kickbacks from debt collectors in exchange for giving them business.