Compliance

A state regulator fined a Bank of America investment unit for allowing its advisors to mislead clients about bonds related to government sponsored enterprises.

Some employers are not depositing workers’ retirement or health plan contributions.

Fund executives also don’t like the proposed new name “marketing and service fees.”

The mutual fund industry has weighed in through its comment letters on the Securities and Exchange Commission’s plan to rename 12b-1 fees as “marketing and service fees” and capping them at 25 basis points.

The Department of Labor is cracking down on employers who fail to deposit workers’ retirement or health plan contributions but using the money for their own purposes instead.

John Bowman, the acting director of the Office of Thrift Supervision, lashed out Wednesday at the Dodd-Frank Act, arguing it made his agency the scapegoat for the financial crisis and ...

Analysts say growth will stall or slow if upper income households see a tax increase.

The ­Securities and Exchange Commission would violate the Tower Amendment and the principles of federalism if it applies its proposed rules on asset-backed securities to municipal bonds, 14 market groups warned this week.

Top executives want to reassure lawmakers that foreclosure alternatives are paramount.

But IRS Commissioner says the investigation isn’t over and the closed cases so far have averaged more than $200,000 in tax collections per case.

The SEC will vote on raising the threshold for registration from $25 million to $100 million.

In the absence of global resolution rules, a hard-to-pronounce buzzword has crept into the debate on winding down big banks: subsidiarization.

The Securities and Exchange Commission will vote Friday on new registration rules for hedge funds and private equity funds.

The initial reactions among financial services companies to the Dodd-Frank Wall Street Reform Act have been trepidation and fear.

Considered to be a deal broker and careful listener by those who have worked with him in the past, Joseph Smith won near-universal acclaim as Obama's pick to lead the FHFA.

Just when branch managers thought their jobs couldn’t get any more complicated, Mary Schapiro says that her agency is looking at regulating broker pay.

The SEC should rein in the ABA's CUSIP Service Bureau and prevent it from charging financial market participants unreasonable and unwarranted fees, say three trade groups.

In September, the Basel Committee on Banking Supervision announced new standards to raise required common equity ratios to 7% by 2019, and have regulators implement the new capital rules by 2013.

The central bank aims to send an encouraging sign to investors: the economy is stable and the giant banks are safe. It's a gamble with some downsides.

Industry groups are urging the Securities and Exchange Commission to reject a proposal from the Municipal Securities Rulemaking Board to provide it with an additional $17 million in revenue annually by nearly doubling the amount of transaction fees it collects from dealers.