Based on what Treasury Secretary Timothy Geithner said last week, it seems unlikely that mutual funds are going to be designated as systemically important financial institutions under Dodd-Frank
Proposal would eliminate need to rely on credit ratings provided by S&P, Moody's, et. al; 'much more difficult to police'
Officials in Europe act swiftly to protect banks; 'false market rumors'
Proposal would require broker-dealers to publicly disclose information about shelf space payments from mutual funds
Additional $74M will also enable commission to update computers, hire more inspectors
Law's co-author comfortable with postponement of deadlines — if agencies need more time to gather info
In the give-and-take of congressional budget negotiations, the Securities and Exchange Commission got a little more funding than expected — but not nearly as much as it says it needs to perform its core functions while implementing the Dodd-Frank financial reform law.
With criticism mounting about the lack of disclosure in the municipal bond market, the agency that oversees the sale of muni securities is working on initiatives designed to encourage broker-dealers and issuers to provide more information to investors
Officials at federal agencies scrambling to translate the Dodd-Frank Act into regulations can breathe a little easier if they fall behind, as many of them have
Advertising and marketing are still a prime worry, but the 'death-penalty' is an increasing vexation
Amid the financial crisis of 2008, ratings agencies were villified by press and public alike. But S&P's lowering of its credit rating outlook for Uncle Sam was hailed by some as a crucial step in getting lawmakers to do something about the crushing federal deficit. | <font color = blue>Benjamin: Run on Treasuries a flight to crazy</font>
Barclays Plc, which bought Lehman Brothers Holdings Inc.'s North American business, will get $1.1 billion in trading assets from the trustee liquidating the remnants of Lehman's brokerage, the trustee's lawyer said.
Ameriprise Financial Inc., two of its Securities America units and a group of investors who sued them asked a U.S. judge to approve a proposed $80 million cash settlement.
Probable push-back in deadline for registering with states will buy advisers some time; agency under 'tremendous pressure' .
House Republicans presented a blueprint for the fiscal 2012 budget on Tuesday that seeks to end what they see as an onerous provision of the Dodd-Frank financial reform law, dials back federal spending to a level that Securities and Exchange Commission officials say would hamstring the agency and recommends a tax overhaul that includes eliminating major tax breaks.
Bill by Senate Banking Committee's Jim Demint would scrap the regulatory overhaul that aims to make sweeping changes to oversight of derivatives, consumer lending and business practices at financial firms.
Michael Oxley of 'Sarbanes-Oxley' fame will push for self-regulation of investment advisers
Ex-Charles Schwab Corp. investment company manager Randall Merk agreed to pay a $150,000 civil fine to resolve a Securities and Exchange Commission lawsuit accusing the company of misleading investors in its YieldPlus fund.
Ameriprise Financial Inc., two of its Securities America units and a group of investors who sued them asked a U.S. judge to approve a proposed $80 million cash settlement
