Regulation

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.

Securities regulators are reviewing a proposal that would require the riskiest money-market mutual funds to adopt a floating share price, according to a person familiar with the matter.

The Securities and Exchange Commission under chairman Mary Jo White will take a global perspective in the reforms and rules it lays down.

U.S. securities regulators are reviewing a proposal that would require the riskiest money-market mutual funds to adopt a floating share price, according to a person familiar with the matter.

Bruce Karpati, the former national chief enforcement officer of the SEC's asset management unit, has been named chief compliance officer for Prudential Investments.

A group of bankers advising the Federal Reserve urged U.S. regulators to consider preventing Wal-Mart Stores Inc. from offering some financial services.

The U.S. Securities and Exchange Commission is reviewing its practice of settling cases without requiring defendants to admit guilt, the agency’s chairman said today in congressional testimon