Regulation

The New York attorney general's lawsuit claims that the accounting firm explicity approved the transactions, which were designed to temporarily reduce the leverage on Lehman's balance sheet.

If the FDIC has its way, federal regulators would not wait for Congress to create national servicing standards, but instead write such rules as part of risk retention guidelines.

Although independent registered investment advisers are optimistic about the future of their businesses and the stock market, they are worried about the time and money associated with pending regulatory changes, according to a new survey by TD Ameritrade Institutional, a division of TD Ameritrade.

Some transaction participants appear to be rushing to market questionable Build America Bond, bank-qualified or other municipal bond deals before tax incentives expire at the end of the year and risking Internal Revenue Service enforcement action for violations of tax requirements, according to market sources.

The Securities and Exchange Commission Monday proposed a lengthy new rule to establish a permanent registration system for municipal advisory firms as well as individual advisers that would replace a temporary system for firms the SEC put in place in September.

The law firm approved the appointment of the former Comptroller of the Currency on Monday to chair the firm's financial institutions group and to advise clients on ...

If you want to know why the ABA blames the ICBA for undercutting the industry's lobbying on regulatory reform legislation, you have to start in Nebraska.

The Financial Services Authority has fined a former executive from Toronto Dominion Bank $1.2 million for intentionally mispricing trading positions in credit derivatives to cover his losses and banned him from working in the financial services industry.

The Depository Trust & Clearing Corp. announced Monday that it has enhanced its Cost Basis Reporting Service to act as a central hub between all financial intermediaries—broker-dealers, transfer agents, issuers, mutual funds and custodian banks.

The provisions of Dodd-Frank put the SEC in a better position to handle its workload, the groups say.