Regulation

The Securities and Exchange Commission last week warned publicly traded banks to be more thorough and consistent in disclosing their exposure to European sovereign debt.

With deadlines bearing down for certain federally registered investment advisors to transition to state regulation, advisors have a host of concerns and questions, experts say.

Financial services industry groups are ready and willing to help the Labor Department do a formal study of the potential impact of a redefinition of fiduciary responsibility, according to a new letter several trade organizations wrote to the department.

Gregory Fleming, president of Morgan Stanley Smith Barney and Morgan Stanley Investment Management, was elected to replace former Bank of America Merrill Lynch wealth management head Sallie Krawcheck on the SRO’s Board of Governors.

A federal arbitration panel has fined the brokerage firm Morgan Keegan & Co. for mishandling the account of an Atlanta charity.

Lawmakers show deep interest in staying involved with 'Volcker Rule' during the implementation phase and regulators may actually be grateful.

iWASHINGTON — In technical terms, Congress handed regulators the baton a while ago to implement a crackdown on proprietary trading. But as the federal agencies grapple with turning the so-called Volcker Rule into regulation, the process seems almost like a joint effort between two branches of government.

SEC says it will no longer let companies "neither admit nor deny" charges in settling cases it brings against them. Sort of.

It's been almost as longstanding a practice in the regulatory field as using the phrase "left to pursue other interests" when a company asks one of its top executives to leave.

He didn't want to lose and didn't want to do what was necessary to win.