Regulation

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer. Gregg is known for advocating bipartisan approaches to balancing the national budget.

The Financial Industry Regulatory Authority will present the latest on fiduciary rules, enforcement and other issues affecting financial advisors at its annual three-day annual conference opening today in D.C.

The House passed a controversial bill on Friday requiring the Securities and Exchange Commission to conduct additional economic analysis on its rules.

A U.S. District Court ordered a former Ameriprise advisor to serve a year of house arrest and pay restitution for defrauding a client.

Andy Brooks just wants to get something done, about the structure of equity markets.

New rules being considered for U.S. money-market mutual funds will make them safer for investors while forcing some smaller providers out of the business, Moody’s Investors Service analysts said this week in a research report.

JPMorgan Chase & Co., Goldman Sachs Group Inc. and the world's largest banks won rollbacks in final Dodd-Frank Act rules that promise to transform the private swaps market by increasing competition.

SEC Chair Mary Jo White defended the agency's request for a significant budget increase before a House oversight committee, arguing that the additional funding is necessary to equip the SEC with the resources to handle a litany of regulatory tasks, including increased examinations of investment advisors and enforcement actions.

It is vital that firms and financial advisors be aware of the stakes involved in the SEC's suit against the SIPC writes FSI president and chief executive of the Financial Services Institute, Dale E. Brown.

New rules being considered for U.S. money-market mutual funds will make them safer for investors while forcing some smaller providers out of the business, Moody’s Investors Service analysts said this week in a research report.