Law and regulation

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.

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 an analysis of 10 million mutual fund votes cast between 2007 and 2009, the Investment Company Institute found that the number of shareholder proposals rose, and as such, funds approved 50% of these proposals in 2009, up from 35% in 2007.

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.

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.

“Financial institutions and Wall Street’s favorability rating is below Congress, which is a feat unto itself right now,” a speaker at SIFMA’s annual conference said Monday.

The Republicans rule the House now and all signs show that they can’t wait to make their mark on financial regulatory reform—if they can.

It sounds like the name of an honored Transatlantic ship, but this time the QE2 stands for the Federal Reserve Board’s second attempt at an economic stimulus with the name Quantitative Easing. Will this new round help keep the economy afloat and chugging toward an expansion?

According to BlackRock, if broker-dealers end up losing money on those fees, they will eventually compensate by serving clients on advisory programs called wrap accounts.

Rep. Ed Royce clearly sees himself as a stronger leader at a critical time for his party and the financial services industry.

Two different interpretations of this week's historic midterm elections emerged, with both sides competing to say how the vote would impact the financial services world.