Compliance

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.

Nearly half of the nation's chief financial officers and senior controllers polled by global CPA and business advisory firm Grant Thornton say that the U.S. should not adopt international Financial Reporting Standards until after U.S. GAAP and IFRS have converged to the point where the differences are inconsequential - a time frame of between five to seven years.

Though the Consumer Financial Protection Bureau has jurisdiction over a wide range of financial products, Elizabeth Warren is making credit cards her top priority.

Sen. Christopher Dodd said the work is far from done in terms of regulatory reform.

The Financial Industry Regulatory Authority said it fined Goldman, Sachs & Co. $650,000 for failing to disclose that two of its registered representatives had received Wells Notices, which indicate that investigations of operating practices are under way.

FINRA sanctioned the New York-based company with a $650,000 fine and ordered it to review its procedures and systems and document corrective measures

“We have just established a framework,” the Connecticut Democrat said at SIFMA's annual conference on Monday. “The rest is up to regulators and many in this room. It is the government’s duty to set the parameters and remain a vigilant watchdog.”

In another outgrowth of the May 6 Flash Crash, the Securities and Exchange Commission Monday approved rules that would effectively prohibit "stub quotes" in the U.S. equity markets.

NEW YORK-The financial services industry actually embraces the Dodd-Frank Wall Street Reform Act and related rules and regulations, as a means of restoring faith in its part of the economy, the heads of private client service and capital markets firms said Monday.

As the mutual fund industry faces potentially huge changes to the way it does business, BlackRock is pressing the Securities and Exchange Commission to take measured steps to ensure that smaller investors do not get shut out of whatever marketplace emerges from the new policies.

The Securities and Exchange Commission has to get to the bottom of what its chairman, Mary L. Schapiro, called "loose" capital markets on Monday.