Regulation

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.

Retired Congressman Barney Frank, one of the architects of the Dodd-Frank financial reform law, called Friday for both stringent standards and lenient enforcement around the law's much-watched Volcker rule.

MBIA agreed to insure a $1.16 billion pool of mortgages without its employees reading a report the bond insurer now claims was altered to hide flaws in the loans, JPMorgan Chase’s lawyers told a judge.

An SEC advisory committee on Friday recommended that the commission appeal to Congress for authority to collect user fees from advisors to enhance its oversight of the RIA sector and enact rules to tighten regulation of broker-dealers.