Regulation

President Obama signed the Small Business Jobs Act into law on Monday, providing $12 billion in tax breaks and a $30 billion lending fund for small businesses.

The move underscored the difficulty of implementing the Dodd-Frank regulatory reform law, which requires regulators to act independently and in concert with other agencies.

The designation’s enforcers admonish, suspend and bar advisors for transgressions that range from squalid to bizarre.

You can put compliance into your computing cloud. But the cloud can't do the compliance for you.

The combination of having at least three of the proposed 10 “industry” seats on its expanded board dedicated to nondealer muni advisors, along with the establishment of a council of advisors to bounce ideas off the board, will ensure that advisors are fairly regulated beginning Oct. 1, the Municipal Securities Rulemaking Board is insisting.

Rivals of BofA are expected to wait and see how the Charlotte company's moves sit with the public and with Elizabeth Warren, the special adviser who's setting up the CFPB.

To avoid a Lehman Bros. redux, federal regulators must prepare for the next crisis by obtaining blueprints for unwinding the largest financial companies.

Rep. Spencer Bachus came out swinging Wednesday against speculation he may not become chairman of the House Financial Services Committee if Republicans win control of the House in the midterm elections.

Just four days after being appointed to spearhead the creation of the new consumer bureau, Elizabeth Warren has hit the ground running.

The Commodity Futures Trading Commission will vote Oct. 1 on new rules for derivatives clearinghouses and a reporting deadline for outstanding swaps trades, CFTC Chairman Gary Gensler told the U.S. Chamber of Commerce Tuesday. The new rules would also apply to exchanges and swap trading platforms.