Regulation

Bloomberg -- A partisan stalemate that partially shut down the U.S. government may lessen the appetite of lawmakers for risking a debt default later this month.

Bloomberg -- Most U.S. oversight of financial markets and institutions will continue to operate as usual during a government shutdown because most regulators are funded with independent revenue.

Bloomberg -- The Treasury Department said money managers could pose threats to the U.S. financial system when reaching for higher returns, herding into popular asset classes or amplifying price movements with leverage.

A partisan stalemate that partially shut down the U.S. government may lessen the appetite of lawmakers for risking a debt default later this month.

The fate of the Dodd-Frank Act’s ban on banks trading for their own accounts -- one of the final pieces of the U.S. effort to prevent a repeat of the 2008 financial crisis -- may rest with a cluster of economists at the Securities and Exchange Commission.

Douglas Manditch, chairman and chief executive at Empire National Bank, believes community banks are being squeezed by "overzealous" regulation and are feeling pressure to sell.

FINRA is pressing ahead with a controversial new rule that would require brokers to make disclosures about recruitment compensation they receive as an enticement to jump to a new firm.

What can you say without crossing the line and violating a non-solicitation agreement?

Do you know when a customer complaint is reportable?

A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.