The bank's shares fell on the news that the government wants systemically important Swiss banks to hold significantly more capital against foreign units.
A new survey builds on research showing the provision's potential reach and effect on retirement security.
The state treasurer added four financial services firms to a list of those ineligible to provide banking services to the state because he says they 'boycott' the fossil fuels industry.
Finra finds years of compliance shortfalls at Dawson James Securities involving more than 10,000 text messages, including inadequate system for private placements.
KO blow from the SEC offers pointed lesson: Don’t fight Uncle Sam
A new cybersecurity alert warns member firms to be wary of fraudulent messages impersonating key members of the regulator’s leadership.
The SEC could put extra scrutiny on products that benefit from ether's proof-of-stake consensus mechanism, although most ETF applicants may not get the staking benefits in their funds.
Multiple incidents of using personal text communications were discovered.
The client and his wife sued over investments that they allege should not have been allowed and that ended up wiping out much of a fortune once pegged at more than $50 million.
The two nonprofits are urging the Court of Appeals to uphold a lower court decision supporting a 'middle-of-the-road' approach for fiduciaries.
The regulator for years has granted exemptions for financial institutions whose affiliates have been convicted of financial crimes overseas.
The rule revamp fills a gap in an early-2000s exemption that let investment advisors use websites as ‘props,’ says SEC Chair Gary Gensler.
Advisors weigh in on the impact the DOL’s retirement security rule will have on 401(k) plans and retirement.
'There is a risk that this man will be in a position to do something very bad in the future,' the judge says. 'And it’s not a trivial risk. Not a trivial risk at all.'
Advances in artificial intelligence make it easier for criminals to impersonate customers and craft increasingly sophisticated email phishing attacks, according to a report.
A court dismissed the case, pointing to the facts that the company waived fees for its participants and didn't really benefit from the assets.
Stifel broker-dealers agree to fines and restitution of almost $3 million as a result of shortcomings in supervision and compliance related to sales of non-traditional exchange-traded products.
The Financial Services Institute is asking the SEC to adopt a procedural framework to detect and prevent certain unfair enforcement practices.
The law firm, which has brought two cases this month over pension risk transfers, is looking for participants and beneficiaries of Alcoa's pension plan.
If anyone needed proof that many groups are unhappy with the rule, both the Sierra Club and US Chamber of Commerce have filed court papers.
