Compliance

WASHINGTON — Having successfully ushered Federal Reserve Board Chairman Ben Bernanke's troubled confirmation through the Senate, the Obama administration must soon consider how best to fill other key financial regulatory positions.

RR Donnelley has added another mobile application to its suite for mutual fund and annuity companies, broker/dealers and financial advisers, the iCOMPLi iPhone app that makes it possible to send a SEC-compliant prospectus, summary prospectus or statement of additional information to an investor.

Wells Fargo has inherited Wachovia’s fight over defecting brokers. Can it succeed?

New regulations are aimed to boost resilience of money market funds.

WASHINGTON — Senate Banking Committee Chairman Chris Dodd is not the only lawmaker who stands to lose if a regulatory reform bill is not enacted this year.

WASHINGTON — Republican Sen. Bob Corker's decision to negotiate directly with Senate Banking Committee Chairman Chris Dodd on regulatory reform may boost the chances of reaching a bipartisan bill, but does not clarify how critical unresolved issues will be worked out.

The business model for independent brokerage firms is under threat, calling into question the livelihood of over 178,000 registered representatives.

WASHINGTON — With the economy showing signs of recovery, Federal Reserve Board Chairman Ben Bernanke gave more clues Wednesday to how the central bank will return to normal and made clear that financial institutions are central to his plans. Federal Reserve Board, Ben Bernanke, House Financial Services Committee, Rajeev Dhawan, Economic Forecasting Center

Pressured by a brokerage firm, the board of governors of the Financial Information Regulatory Authority will meet Wednesday to determine whether Securities and Exchange Commission Chairman Mary Schapiro and other former FINRA executives were overcompensated in 2008.

The House Financial Services Committee canceled all hearings scheduled this week due to heavy snow.

Plans may soften the blow of failures, but not fix the problem

Morningstar said that Footnoted’s free site “has become a must-read for professional money managers and analysts, as well as sophisticated individual investors.”

WASHINGTON — A federal judge in New York Monday said he will not decide until Feb. 19 whether to accept the Securities and Exchange Commission settlement with Bank of America over allegations it misled shareholders and the federal government about its merger with Merrill Lynch.

An industry group developing best practices for 403(b) retirement plans is coming closer to streamlining these plans to make them even more similar to 401(k) plans, but first they will have to get everyone to agree to speak the same language.

Investors are about to test drive 401(k) plans with a 21st Century whole new look and feel.

Would Work on Public Pension Unit

Dodd presses ahead without Shelby, but can he succeed?

Investors are about to test drive 401(k) plans with a 21st Century whole new look and feel.

Could the "Volcker rule" be having an influence already?

According to the lawsuit, Bank of America’s management intentionally failed to disclose massive losses at Merrill before shareholders approved the acquisition.