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Two deputies were named in the FDIC's Office of Complex Financial Institutions, while three staff positions were announced in the Division of Depositor and Consumer Protection.
February 14 -
The fund business looks like it’s back.
February 13 -
Rule-making body wants the SEC to make changes to prevent potential conflict of interest in municipal securities trading.
February 11 -
Whats a wirehouse advisor to do in this uncomfortable situation? And theres more on the fiduciary standard.
February 11
On Wall Street -
For the second year in a row, enforcement actions set a record, jumping 21% last year, to 2,724, an increase industry representatives attributed to a persistently heightened focus on capital and safety and soundness standards in the wake of the financial crisis.
February 11 -
"We're no closer to an end game than we were before the report," one panelist said Thursday. "Maybe even further away."
February 10 -
A former broker for RBC Capital Markets is set to pay $1.7 million to RBC Capital Markets and his request for $37.8 million in compensatory damages has been denied.
February 10 -
House panel members on Wednesday opposed federal bailouts for municipal governments and were reluctant to provide states with bankruptcy protection, but they seemed to support requiring improved public pension fund disclosure.
February 10 -
A Financial Industry Regulatory Authority Panel ordered Citigroup to pay $6.4 million to a group of investors including investment banking executive D. Theodore Berghorst for municipal arbitrage trust fund losses.
February 9 -
On the eve of congressional hearings examining whether unfunded pension liabilities could trigger severe fiscal stress for state and local governments, a coalition of 10 groups representing state and local entities said public pensions are not in crisis and are not seeking federal assistance.
February 9
