Compliance

Last year's push by some lawmakers to rein in the big banks may have lost steam, but an imminent GAO report and committee leadership changes could give the issue new life.

Opponents argue that the long time horizon and heated controversy could convince the White House to back away from the retirement plan proposal.

Financial products and markets are so thoroughly intertwined that regulators need to take a more holistic approach than they have in the past.

New options could stake out a middle ground between a lump-sum payout from a 401(k) and putting the entire plan into an annuity.

The IRS is about to get an unprecedented look at bank accounts and investments U.S. citizens hold abroad, through a law that is making it harder to hide assets from the tax collector.

BNP Paribas' record $8.9 billion penalty and criminal guilty plea could have reverberations industrywide, including emboldening the Justice Department to seek similar actions against domestic banks and causing international regulators to take retaliatory action.

Even minor run-ins with the law can haunt you if you don't report them properly.

Some broker-dealers and some issuers have distorted the truth about the municipal advisor rule, said a former SEC lawyer who worked on the new regulatory regime.

Selling a home in retirement; Frailty risk different from health care expenses; State of senior health, by state.

A former Credit Suisse managing director for investment banking who had pleaded guilty to lying about the value of mortgage-backed bonds in 2007, avoided time in prison after cooperating with prosecutors.

Sterne Agee Group's former chief executive officer faces a U.S. probe into whether he misused company assets such as airplanes, boats, hunting clubs and condominiums, a person with knowledge of the matter said.

Stock brokers who switch firms will be able to keep their bonuses to themselves for at least a few months longer.

To best leverage social media in their practice, advisors need to familiarize themselves with their firms' compliance rules and get a little personal on their social media accounts.

JPMorgan Chase engaged in a “pattern of discriminatory” lending that led to foreclosures, the city of Miami said in a lawsuit filed last week in federal court, the latest in a series of similar claims against the nation’s largest banks.

As regulators again put off action on a fiduciary standard for the wealth management industry, fi360 lets advisors move forward on their own.

Regulators' evaluation of last year's "living wills" submitted by the biggest banks was touted as an important step in ending "too big to fail," but the agencies have failed to provide any feedback on previous plans just weeks before the next set are due.

FINRA fined Merrill Lynch $8 million and ordered the firm to repay $24.4 million to retirement accounts and charities for allegedly overcharging for mutual fund fees.

Pushback by the SEC is complicating a regulatory effort to investigate whether large asset managers should be labeled "systemically risky."

Majority Leader Eric Cantor's stunning defeat in Virginia's Republican primary Tuesday evening could usher in a new political era for the House — one that's likely to leave its imprint on the banking industry.

The U.S. IRS issued a ruling yesterday clearing the way for institutional investors to seek changes to incentive fees assessed by hedge funds, which may make it cheaper for them to invest in such offerings.