Value of P.R. muni bonds dropped last month.
Chairman Mary Jo White says the Securities and Exchange Commission will zero in on minor missteps to stop larger violations. The upshot? Look for more enforcement action.
Market experts say investors shouldn't pull their assets out of the market despite the looming debt ceiling debate. But they should be ready for plenty of volatility.
Lawmakers shouldn't risk a default on U.S. debt because the impact would be devastating and the full extent of the damage isn't knowable in advance, said Jamie Dimon of JPMorgan Chase & Co.
The congressional dispute will end “very rapidly,” said BlackRock's CEO Larry Fink
A former star Wedbush Securities broker wins a $4.2 million award against the firm in a case over pre-crisis sales of risky CMOs. It's the second big case the firm has lost in as many years. Bruce Kelly has the story.
'Claimants' lawyers will love it. Defense lawyers will hate it.'
For five years, the Fed has focused on home-grown challenges, including financial turmoil and the recession and surge in unemployment that resulted. The biggest threat to U.S. expansion under its next chairman may lie outside its borders as China and fellow emerging markets show signs of weakening.
Two Republican lawmakers say the SEC's investor-protection measures for private placement ads limit free speech. The response from one state securities cop? "Absurd!"
A federal judge has ruled that Merrill Lynch can't force a group of brokers suing the firm over overtime into arbitration. The case has big implications for the Finra-Schwab class action case.
New York state has accused the brokerage giant of falsely describing auction-rate securities as liquid investments without disclosing the risks
The former Senator and Governor is optimistic that Washington can cut a deal
Labor Department's hiatus to delay investigations, enforcement actions
Finra's spending on Capitol Hill lobbying hits $450,000 so far in 2013, down from 2012. Despite the decline, the regulator's lobbying still towers over that of investment adviser groups.
Investment Adviser Association, TD, Schwab hit Capitol Hill armed with odd message
Citigroup Global gets hit with a $3.1 million arbitration award after investors claimed a former Smith Barney broker steered them to a real estate development that folded. Bruce Kelly reports.
Leftover funding from the fiscal year that just ended will keep the SEC running at 100% for a few weeks despite the government shutdown.
