Regulation and compliance
Regulation and compliance
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Banks continued to ease lending standards over the first quarter due in part to increased competition and a less uncertain economic outlook, a Fed survey found Monday.
May 3 -
The Securities and Exchange Commission will revisit 12b-1 fees in July, potentially putting a cap of 25 basis points on them and renaming them to clearly indicate their use for marketing purposes, said SEC Commissioner Elisse Walter.
May 2 -
Emotions are mixed near the site of Sept. 11.
May 2 -
For the financial services industry, for Wall Street, the impact has special meaning.
May 2 -
With the deadline to register with the Securities and Exchange Commission less than three months away, consultants and other hedge fund experts are urging fund managers to get ready-and fast.
May 1 -
Brokerage firms will likely step up their own diligence when it comes to private placements
May 1 -
Our legal expert answers your questions about interstate licensing.
May 1 -
The CEO and executive director of the Investment Management Consultants Association (IMCA) shares his thoughts on his organization's changing population.
May 1 -
A federal judge in Orlando, Fla., has permanently barred Richard Goble, president of a defunct clearing firm and a critic of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.
April 29 -
A FINRA arbitration panel awarded $1.76 million to an investor group who participated in Madoff feeder fund Rye Select Broad Market Fund and other investments.
April 29 -
A federal judge has permanently barred Richard Goble, president of a defunct clearing firm and a one-time member of the board of the Financial Industry Regulatory Authority, from the securities industry and ordered him to pay a fine of $7,500.
April 29 -
A House Ways and Means Committee panel plans to hold a hearing next Thursday on a bill that would prohibit state and local governments from issuing tax-exempt bonds unless they meet certain pension disclosure requirements.
April 29 -
Banks and several large technology companies, including Apple Inc. and Microsoft Corp., argue that because the Fed's proposed 12-cent interchange fee cap does not properly take into account the costs of fraud and fraud prevention, banks will inevitably have less money to protect data security, making the entire system less safe.
April 29 -
Regulatory reform was on the top of everyones minds at the Women Advisors Forum in New York City on Thursday.
April 28 -
Fed Chairman Ben Bernanke broke with tradition on Wednesday, offering a rare glimpse into how the central bank conducts monetary policy, a process usually kept secret.
April 28 -
Market participants slammed the Municipal Securities Rulemaking Boards new draft Rule G-43 for brokers brokers, calling it everything from irresponsible to anti-competitive.
April 27 -
Bank executives are sounding considerably less positive about Basel III than they did when global regulators announced final international capital and liquidity standards last year.
April 27 -
The Securities and Exchange Commission said it has started enforcement proceedings against a St. Louis-based registered investment advisor and its president for using a broker-dealer to artificially inflating the prices of thinly executed stocks to report inflated performance to clients.
April 26 -
Obama has two options: Nominate a candidate who sparks little debate (no easy task), or make a recess appointment, a move that will further infuriate GOP opponents.
April 26 -
Eighty-five percent of buy-side firms are unprepared for regulatory changes, a survey by MoneyMate, a data management firm, found.
April 25