Regulation

Institutional investment managers may soon have to report to the Securities and Exchange Commission on what say they have on executive pay at the firms they invest in.

Unlike other House Republicans, Rep. Ed Royce is not looking to repeal outright the Dodd-Frank reg reform law, but the California lawmaker is likely to try and clip its wings.

Though it bucks conventional wisdom, giants may become smaller, simpler and safer over the next handful of years if regulators properly use tools provided in the Dodd-Frank Act.

The former Ferris, Baker Watts LLC will pay $500k for inadequate supervision of sales of reverse convertible notes to retail customers.

With more time to rebuild its coffers and failed-bank losses easing, the FDIC Tuesday abandoned an across-the-board premium hike slated to go into effect next year.

The Securities and Exchange Commission charged two hedge fund portfolio managers and their investment advisory businesses with defrauding investors by overvaluing illiquid fund assets they placed in a "side pocket."

Broker-dealers who are sponsoring their customers' direct access to securities markets need to face a "higher level of accountability with respect to the algorithms they use,'' according to their chief regulator.

Four former Financial Industry Regulatory Authority officials who left the agency in 2008 each received between $2.74 million and $4.43 million in reportable compensation and benefits that year, according to the latest form the nonprofit self-regulator filed with the Internal Revenue Service.

When the bill was signed into law by President Obama in July, an era marked by a flood of federal investigations sparked by bounty-hunting employees looking to cash in on rewards that, in some cases, could turn them into instant millionaires began.

The Internal Revenue Service has issued final regulations under a law change that will require reporting of basis and other information by stock brokers and mutual fund companies for most stock purchased in 2011 and all stock purchased in 2012 and later years, making it easier for investors to report their gains and losses next year on their tax returns.