Law and regulation

Municipal analysts and strategists are looking in the health care and housing industries and at credits with intermediate maturities for potential bargains that may be created by irrational fears over the government shutdown and the debt ceiling.

Researchers at a Federal Reserve conference in St. Louis provided data backing small bankers' concerns about regulation and competition, though it is unclear if the findings will led to meaningful change.

The world’s biggest investors are finding U.S. government bonds becoming safer, not more risky, as the deadline to avoid the first American default approaches.

The Swiss Bank is reviewing loans issued to clients in Puerto Rico. One brokerage customer said he was given credit to buy risky bond funds holding the island’s government debt.

Big banks once again widened their lead in deposits, according to the FDIC's yearly survey. Community banks lost ground nationwide, but they held their own in small cities and rural areas. Plus, small banks slowed deposit-gathering because they're already too liquid.

The SEC says it has reached a settlement with a Nebraska investment advisory firm charged with breach of fiduciary duty involving three funds it managed over the course of the previous decade.

Measures affecting Dodd-Frank Act requirements won’t move forward in Congress while the government remains shut down, according to two Republican leadership aides.

The IRS has temporarily stopped sending out tax refunds and the Tax Court has suspended operations as lawmakers in Congress continue their fiscal battle.

The Federal government shutdown will leave most agencies overseeing the bond market mostly operational in the near-term, but the municipal advisor rule’s implementation will be delayed and issuers are worried that Build America Bond payments might be cut off or delayed.

A partisan stalemate that partially shut down the U.S. government may lessen the appetite of lawmakers for risking a debt default later this month.

The fate of the Dodd-Frank Act’s ban on banks trading for their own accounts -- one of the final pieces of the U.S. effort to prevent a repeat of the 2008 financial crisis -- may rest with a cluster of economists at the Securities and Exchange Commission.

Douglas Manditch, chairman and chief executive at Empire National Bank, believes community banks are being squeezed by "overzealous" regulation and are feeling pressure to sell.

FINRA is pressing ahead with a controversial new rule that would require brokers to make disclosures about recruitment compensation they receive as an enticement to jump to a new firm.

What can you say without crossing the line and violating a non-solicitation agreement?

Do you know when a customer complaint is reportable?

A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.

With Congress showing no sign of consensus, the looming threat of a government shutdown is instilling fear and unease among those from Main Street to Wall Street.

The two big wirehouses back the CFP Board’s move to strip out its 'fee-only listings.

All in all, a government shutdown would be a major irritant, but would not have much impact on our clients or commerce in general. The trouble starts if the government defaults on its debt.

As Septmber draws to a close, we've gathered together the most popular stories of the month. Don't miss the top five.