Compliance

The Securities and Exchange Commission Wednesday unanimously voted to ban ‘naked access’ to stock markets by unregistered entities.

Spencer Bachus, who just months ago was seen as unlikely to assume the top spot on the House Financial Services Committee now that Republicans have won control of the House, is now the odds-on favorite.

The joint committee is conducting a review of the market events of May 6, 2010 and making recommendations related to market structure issues that may have contributed to the volatility, as well as disparate trading conventions and rules across various markets.

The Department of Labor’s new requirements for plan administrators goes far beyond disclosing mutual fund expense ratios to disclosing fees paid to all service providers.

Republicans have grand ambitions for what they plan to accomplish if they, as expected, win control of the House in Tuesday's election, but their victory is more likely to lead to ...

The looming battle over Congress is bringing investors’ macro-economic concerns to a head.

The Securities and Exchange Commission and the Connecticut banking commission have sued a Connecticut hedge fund manager with fraud.

If the Securities and Exchange Commission had systematically documented numerous complaints about Bernard Madoff made over 10 years by financial analyst Harry Markopolos, who argued that Madoff's returns were mathematically impossible; known that two of SEC offices were independently investigating Madoff, unbeknownst to one another; and heeded the advice of one of its own examiners five years before the $18 billion scandal came to light-it might have seen the bigger picture and stopped Madoff in his tracks.

Build America Bond issuers could potentially go years without subsidy payments under the examination process the Internal Revenue Service is currently considering for them, bond attorneys meeting here warned last week.

Issuers that want to avoid disclosure mishaps — and possible federal enforcement action — should develop and closely follow policies as well as procedures that lay out who must review and sign off on their disclosure documents, Securities and Exchange Commission officials are stressing.

President Obama reiterated his proposals for cuts in business and individual taxes and called on Republicans and Democrats to work together after the elections.

While reforming the government-sponsored enterprises was always going to be a hard battle for the Obama administration, its job will be even tougher if the Republicans, as expected, win control of the House this week.

Congress's offer to share some recovered assets with whistleblowers is leading to a flood of informants.

The Securities and Exchange Commission has postponed the municipal securities field hearing it planned to hold in Chicago on Nov. 16.

The Securities and Exchange Commission crossed a new threshold this week by securing financial penalties against individual city officials in a municipal bond fraud case.

The Massachusetts Democrat continues to hold a sizable lead in polls, but his opponent, Republican Sean Bielat, argues that public anger over the economy, anti-incumbent fervor and Sen. Scott Brown's surprise victory this year prove he has a shot at beating Frank.

In an anecdote studded Q&A Wednesday morning at the Schwab IMPACT 2010 Conference in Boston, Henry Paulson (left) discussed how he rescued the financial system and saved the country from economic ruin.

Four former San Diego officials have agreed to pay civil penalties totaling $80,000 to settle charges with the Securities and Exchange Commission that they were negligent in misleading investors about the city’s pension and retiree health care liabilities.

The Securities and Exchange Commission and the Connecticut banking commission have sued a Connecticut hedge fund manager with fraud.

The President’s Working Group on Financial Markets released its report on Money Market Fund Reform Options, reigniting the controversial debate over floating net asset values, banking regulations such as insurance and a private emergency liquidity facility and meeting redemption requests in kind.