Compliance

Senate Democrats' decision to change filibuster rules has shifted the composition of a powerful federal appeals court, a move that could bolster the banking agencies against future industry challenges to the Dodd-Frank Act.

Federal regulators released an interim final regulation late Tuesday designed to fix a problem with the Volcker Rule that would have caused hundreds of banks to take writedowns on certain assets.

JPMorgan Chase's quarterly profit fell 7.3% on $2.6 billion of settlements tied to Bernard Madoff's Ponzi scheme as rising legal costs ended the firm’s three-year streak of record annual earnings.

A report by the U.S. Treasury's Office of Financial Research on asset managers and systemic risk is inaccurate and should not be relied on for policy decisions or regulatory action of any kind, says the Investment Company Institute's General Counsel Karrie McMillan and Chief Economist Brian Reid.

Certain securities salespeople are giving the brokerage industry a bad name by putting clients into manifestly unsuitable securities, namely leveraged and inversed ETFs, which are attracting wary and watchful eyes among U.S. regulators.

Self-employed individuals and small-business owners may not meet the requirements of new mortgage rules that went into effect Friday and could face hurdles obtaining new home loans.

The SEC is putting advisors on notice that its examiners will cast a wide net in their reviews of investment advisors over the coming year.

The CFP Board announced this week that it's shortening its CFP certification exam and transitioning to a computer-based testing platform.

New York Attorney General Eric Schneiderman said the probe that led to his settlement with BlackRock Inc. over analyst surveys is looking at brokerage firms and individuals who provided nonpublic information that could have been used to trade.

FINRA alleges that the firms' advisors sold two types of highly risky ETFs that even they didn't understand.

Members of the Senate Banking Committee and others are raising concerns about the credibility of a pending watchdog report analyzing whether some banks are still "too big to fail," suggesting some experts it relies on may be too closely tied to Wall Street.

The SEC tapped one of its own Monday to lead the agency's enforcement division tasked with conducting investigations into complex financial instruments.

The Senate voted 56 to 26 late Monday to confirm Janet Yellen as the next leader of the Federal Reserve Board.

Raoul Weil, once a powerful UBS AG executive, will return today to a U.S. courthouse where prosecutors said last month he ran a business that used Swiss bank secrecy to help Americans cheat on their taxes.

Prosecutors in the insider-trading trial of a former SAC Capital Advisors LP fund manager can tell jurors that he was greedy, not that he fainted in front of FBI agents or was fired from his job, a judge ruled.

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George Canellos, who played a key role in the SEC's efforts to punish misconduct related to the 2008 financial crisis, is leaving the agency after more than four years.

Brokers selling higher-fee investments like non-traded real-estate investment trusts and derivative-backed structured notes may get more scrutiny this year after those markets grew in 2013.

Regulators are hoping to release an interim final rule next week designed to satisfy banker demands to change a provision of the Volcker Rule that threatens to force smaller institutions to take millions of dollars in write-offs.

FINRA has identified the suitability of the bonds of distressed municipalities for investors, as well as municipal advisor activity, as areas it will focus on in 2014.