The relationship between retail investors and those who advise them may be rewritten after the Securities and Exchange Commission releases three studies on the regulation of brokers and advisers.

The Obama administration says U.S. banks should disclose to the Internal Revenue Service bank accounts owned by foreigners, resurrecting a Clinton-era proposal that was opposed by banking groups and Republicans.

Most muni bond exchange-traded funds performed noticeably worse in the fourth quarter than the indexes they were designed to track.

First Foundation sold loans to Freddie Mac to free up space for higher-yielding credits. It then bought the securities that were formed to replace other, lower-yielding assets through an often overlooked program.

Struggles to achieve sustainable growth led CommunityWorks Federal Credit Union to seek a merger partner.

A former Ocwen Financial executive is settling Securities and Exchange Commission charges that he engaged in insider trading related to his company's dealings with Altisource Portfolio Solutions following a CFPB enforcement action and its upcoming merger with PHH Corp.

The London interbank offered rate was a flawed benchmark, but it was nonetheless a centerpiece of finance for decades. Congress should ensure it doesn't replace one interest rate monoculture with another as Libor winds down.

Employees often avoid sharing bad news with their bosses, assuming the problem will resolve itself. It rarely does, so senior leaders need to create a culture of constant communication with direct reports — and even lower layers of management — so that issues don’t fester.

Recent delays may be frustrating, but the Office of the Comptroller of the Currency isn't closing the door on financial technology companies. However, applicants will have to be patient, forthright about their business plans and willing to actively engage any state or federal regulatory agencies that the OCC consults.