Compliance

The Securities and Exchange Commission has proposed a new rule, based on requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act, that would help those managing their own family's financial portfolios determine whether their “family offices” can continue to be excluded from the Investment Advisers Act of 1940.

New York watchdog Andrew Cuomo has nabbed another firm for allegedly bartering investment deals with the state pension funds without a required securities license.

Seeking to rebut concerns the Federal Deposit Insurance Corp. would use its new resolution powers over large firms to play favorites with creditors, the agency released a proposal Tuesday designed to severely limit who could receive extra relief in a failure.

Three months after the regulatory reform bill ordered the OTS' elimination over the next year, efforts to bring the agency into the OCC fold have been plagued with bitterness, communication problems, unease on job placement and rampant conflicts.

I hadn't been at the lunch table more than 20 minutes. And my tablemate - the chief regulatory officer for a stock exchange based in Kansas - might as well have just said, "put a fork in it."

Municipal market participants should not expect the Treasury Department to simply rubber-stamp the existing tax-exempt bond rules for issue price when it comes to Build America Bonds, a Treasury official told bond lawyers at a recent meeting.

The Securities and Exchange Commission issued a proposal Wednesday to require new disclosures for asset-backed securities.

Carlo Chiaese, a Westfield, N.J. investment advisor, was arrested Tuesday for allegedly defrauding a New York City pension fund.

Court ruling dismissing the securities fraud suit is only one victory in a sea of litigation.

Nearly three months after the Dodd-Frank law created the Financial Stability Oversight Council, its first official meeting Friday was not exactly auspicious.

The Securities and Exchange Commission released its report on May 6’s so-called Flash Crash, but did little else to clarify whether there was any malfeasance involved or whether the report would eventually lead to changes in the way trading is regulated.

Commissioners detail the trade that sunk the market, but won't comment on whose fault it was or what they're doing to fix the problem.

The joint report of the Commodity Futures Trading Commission and the Securities and Exchange Commission on the May 6 Flash Crash is out; and, as expected, the trigger event was found to be a large, programmed effort by a mutual fund complex to sell E-Mini contracts.

Securities and Exchange Commission Chairman Mary Schapiro said Thursday the federal regulator could possibly issue new proposed shareholder corporate governance and executive compensation reform rules “in the next few weeks."

As the battle rages over harmonizing regulation under fiduciary standard, are more rules really the answer?

The Securities and Exchange Commission plans to launch its new office of municipal securities by the end of October, chairman Mary Schapiro said in prepared testimony presented to the Senate Banking Committee Thursday.

The Securities and Exchange Commission charged two State Street Bank and Trust Co. employees for allegedly misleading investors about their exposure to subprime investments.

As the Financial Stability Oversight Council prepared to hold its first meeting Friday, members of the panel faced open doubts from lawmakers and others about how fast it can move and what it can accomplish.

The Securities and Exchange Commission on Thursday charged two State Street Bank and Trust Co. employees for allegedly misleading investors about their exposure to subprime investments.

The Securities and Exchange Commission has quietly hired the head-hunting firm Korn/Ferry ­International to find candidates to lead a new municipal securities office that will have a higher stature within the SEC.