IN Staff
Jamie Dimon, JPMorgan Chase & Co.'s chief executive, expressed frustration about how bankers have been vilified since the financial crisis began last year.
The SEC has issued a proposal to relax accounting regulations for foreign firms that trade on U.S. exchanges.
Oral arguments are scheduled for Nov. 5 before the U.S. Supreme Court in a case that could affect 529 college savings plans.
Securities regulators continue sorting through public input on proposed rules that address broker-dealer financial responsibilities.
A rule took effect Sept. 10 that clarifies the SEC’s ability to go after hedge fund advisers who make false or misleading statements to investors.
Securities regulators are seeking additional input on their controversial proposal to change the minimum net-worth requirements of hedge fund investors.
The deadline is approaching for financial firms to comply with an SEC rule intended to curb market timing and abusive transactions in mutual funds.
The Securities and Exchange Commission last month approved a FINRA rule governing the sale of deferred variable annuities.
The SEC and Federal Reserve last month approved rules that will allow banks to continue selling some securities products and services without registering as brokers.
Securities regulators voted last month to adopt a temporary rule allowing brokers with non-discretionary advisory accounts to continue making principal trades.
