Compliance

Eileen Rominger, former head of the Securities and Exchange Commission’s Division of Investment Management, has decided get back to work after a year-long hiatus.

The rules the U.S. adopted last month make major changes — purifying what counts as capital, hiking the total amount required, slapping on a series of buffers to further insulate the largest banks and creating a global leverage ratio as a floor.

The organization is planning a new, broadly accessible online program now being developed in partnership with the University of Illinois.

The trade association representing credit unions believes that the Financial Accounting Standards Board’s recent proposal to redefine the meaning of a public business entity could open the door to more appropriate accounting standards for credit unions.

Investors are more concerned about improving the quality of financial disclosures rather than simply reducing the quantity of them, according to a new report from the CFA Institute, which takes aim at some recently proposed disclosure reforms that seek to cut down disclosure overload.

Bloomberg -- UBS AG, Switzerland’s largest bank, agreed to pay $120 million to settle claims by investors in Lehman Brothers Holdings Inc. securities in a lawsuit tied to the investment bank’s 2008 collapse.

UBS AG, Switzerland’s largest bank, agreed to pay $120 million to settle claims by investors in Lehman Brothers Holdings Inc. securities in a lawsuit tied to the investment bank’s 2008 collapse.

The Federal Reserve governor leading the central bank’s effort to tighten financial regulation has a decision to make as its governing board is reshaped: Should he stay or should he go?

The Federal Reserve governor leading the central bank’s effort to tighten financial regulation has a decision to make as its governing board is reshaped: Should he stay or should he go?

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities.

Morgan Stanley and Co. has agreed to pay $100,000 to the New Jersey Bureau of Securities. This came after Bureau investigators found the company was in violation of state securities laws and regulations in its sale of non-traditional exchange-traded funds to investors.

A British charity sued a Bank of New York Mellon Corp. unit that managed its funds, saying risky investments caused losses of about 7.9 million pounds ($12.2 million).

Bank of America Corp.’s traders fought off efforts by the firm in 2007 to include risky Alt-A mortgages in a securitization. That wasn’t enough to spare investors from being cheated, according to th

Views are mixed on the impact of the recent Securities and Exchange Commission decision to lift the general solicitation ban on private securities offerings.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

UBS AG will pay almost $50 million to settle U.S. Securities and Exchange Commission claims that a brokerage unit violated securities laws in the structuring and marketing of a collateralized debt obligation.

The Consumer Financial Protection Bureau is losing senior officials faster than it can replace them, raising concerns that the agency may struggle to maintain the aggressive pace set during its nearly two years of existence.

In recent months more than a dozen senior officials have left the agency, including its chief of staff, Garry Reeder, and chief operating officer, Victor Prince.

A FINRA arbitration panel has ruled that Citigroup and one of its former branch managers must pay an investor more than $11 million combined in compensation for losses related to an investment in a foreign bank.