Regulation

As directors and officers of failed banks brace for FDIC lawsuits, an intense legal battle is developing over accessing files at their former institutions.

In 2008, Oxford University Press published the first history of mutual funds, THE RISE OF MUTUAL FUNDS: AN INSIDER’S VIEW, by Matthew P. Fink, former president of the Investment Company Institute. Oxford has just published a new paperback edition, updated to cover the 2008 financial crisis and its impact on mutual funds. The following is the Preface to the new edition.

From a psychic who couldn’t see the future to the car czar caught up in a pay-to-play hustle, this was the year in deception.

For the past two years, the FDIC has maintained a consistent crisis-response posture. But it will undoubtedly need to pivot in a new direction in 2011.

The Securities and Exchange Commission late Thursday obtained an emergency court order to freeze the assets of SJK Investment Management in Greensboro, N.C.

There are two proposed pieces of legislation sitting in Congress that would seem to be no-brainers for helping people save for retirement and helping advisors help their clients.

There are two proposed pieces of legislation sitting in Congress that would seem to be no-brainers for helping people save for retirement and helping advisors help their clients.

A case brought by Oppenheimer & Co. failed to prove allegations that Citigroup Global Markets Inc. unlawfully raided its firm of nine high producing brokers, a Financial Industry Regulatory Authority panel has ruled.

The operations chief for Bernard L. Madoff Investment Securities and his personal assistant are petitioning a New York court to be released from jail.

Policymakers' focus on capital may be creating a false sense of security, and it may be overshadowing other, equally important issues that are central to preventing the next crisis.