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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.
February 12 -
The business model for independent brokerage firms is under threat, calling into question the livelihood of over 178,000 registered representatives.
February 11 -
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
February 11 -
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.
February 10 -
The House Financial Services Committee canceled all hearings scheduled this week due to heavy snow.
February 10 -
Plans may soften the blow of failures, but not fix the problem
February 10 -
Morningstar said that Footnoteds free site has become a must-read for professional money managers and analysts, as well as sophisticated individual investors.
February 9 -
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.
February 9 -
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.
February 8 -
Investors are about to test drive 401(k) plans with a 21st Century whole new look and feel.
February 8 -
NEW YORK - Financial experts think 2010 could provide many interesting opportunities in the realm of wealth transference, particularly with the temporary, one-year expiration of the federal estate tax and reduction of the gift tax.
February 8 -
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Dodd presses ahead without Shelby, but can he succeed?
February 8 -
Investors are about to test drive 401(k) plans with a 21st Century whole new look and feel.
February 5
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Could the "Volcker rule" be having an influence already?
February 5 -
According to the lawsuit, Bank of Americas management intentionally failed to disclose massive losses at Merrill before shareholders approved the acquisition.
February 4 -
The settlements with Securities and Exchange Commission, the Massachusetts Attorney General and the Massachusetts Securities Division of the Office of the Secretary of State resolves investigations into losses from certain active fixed-income strategies managed by State Street Global Advisors.
February 4 -
WASHINGTON In a speech that amounted to a repudiation of congressional efforts to transform the regulatory system for banks, Federal Reserve Board Gov. Kevin Warsh suggested Wednesday that lawmakers were preoccupied by side issues.
February 4 -
WASHINGTON New initiatives from the Obama administration, including plans to tax large institutions and ban them from proprietary trading, and to offer community banks incentives to increase small-business lending, have run into a wall on Capitol Hill.
February 4 -
The company was ordered to pay $12.1 million after being found liable for raiding AG Edwards branches.
February 3
