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HBS Working Knowledge April 23, 2008 Dwight Crane	The Gap in the U.S. Treasury Recommendations U.S. Treasury recommendations for strengthening the regulation of the financial system are a good start but fall short, says Harvard Business School professor emeritus Dwight B. Crane.
U.S. Banker April 2007 Karen Krebsbach	The LSE's Curse of Being Courted London's premier stock exchange is struggling to steady itself after a recent spate of interruptions, including Nasdaq's bungled takeover attempt. But executives remain sanguine.
U.S. Banker October 2007 Karen Krebsbach	Doing the Regulatory Revamp Dance America's bank-regulatory system is once again under the microscope, but for the first time in decades, it is under serious consideration for reorganization.
CFO May 1, 2008 David M. Katz	A New Top Cop for Corporate Finance? Treasury Secretary Paulson mulls over an idea for a new and improved replacement for the SEC.
Bank Systems & Technology February 29, 2008 Deena Amato McCoy	U.K.'s FSA Considering Tougher Bank Regulation U.K. regulators are weighing changes that could require banks to deploy reporting technologies that will keep regulators abreast of problems in a more timely manner.
U.S. Banker August 2010 Mark W. Olson	Endangered Species: The State Banking Charter Should state legislatures continue to see value in funding their state bank regulators, the charter in those states would continue to have viability.
BusinessWeek December 4, 2006 Stanley Reed	Up Against The Wall In The City Why the London Stock Exchange may not be able to evade NASDAQ.
Bank Systems & Technology July 5, 2004 Ivan Schneider	SEC to Banks: Selling Securities? Get a License Industry convergence slowed by multiple regulators and accounting system limitations.
U.S. Banker November 2009 Kaper & Hopkins	Dodd's Power of Persuasion Facing long odds, the Banking Committee Chairman builds support for a plan to create a prudential regulator. But would a single agency kill the dual banking system?
Wall Street & Technology November 26, 2007 Melanie Rodier	Streamlining Global Compliance Globalization continues to be a trend, and financial companies are finding they can't manage current global compliance requirements efficiently.
CFO April 1, 2004 Ronald Fink	Playing Favorites Why Alan Greenspan's Fed lets banks off easy on corporate fraud.
Bank Systems & Technology February 22, 2007 Maria Bruno-Britz	Spillenkothen Joins Deloitte's Banking Regulatory Practice The former Fed regulator hopes to help banks gain an enterprise-wide view of compliance in his new role.
Bank Systems & Technology November 11, 2009 Maria Bruno-Britz	Banking Groups React to Sen. Dodd's Draft Regulatory Legislation With a Big 'No' Although organizations approve of the Senate's efforts, they say it goes too far in undermining those aspects of financial services that actually work.
CFO October 1, 2008 Randy Myers	The Champ Feels Some Heat Stock exchanges in Asia and Europe have made tremendous strides in raising equity capital for companies over the past three years. Is U.S. superiority at an end?
Bank Systems & Technology May 28, 2009 Maria Bruno-Britz	U.S. Banking Sector One Step Closer to Super Regulator Reports indicate that plans may be in the works to consolidate the current array of financial services regulatory agencies into one body.
CFO March 1, 2007 Rob Garver	Nothing to Bank On Bank executives will undoubtedly spend much of the next year assessing the likelihood and impact of new rules, while at the same time trying to keep earnings growth on its upward trend.
BusinessWeek February 26, 2007 Weber & Goldstein	NASDAQ: From Predator To Prey? After NASDAQ's failed LSE bid, those beaten shares may look cheap to investors - and rivals, too.
Bank Systems & Technology March 16, 2009 Maria Bruno-Britz	Details of Regulatory Overhaul Coming to Light The Obama administration's plan for revamping the way financial institutions are overseen would give expanded powers to the Fed and make allowances for government takeovers of failing institutions.
U.S. Banker May 2008 Karen Krebsbach	Plan Draws Lukewarm Response The Treasury Department's proposal to reorganize regulation of the financial-services marketplace drew mixed reviews.
Insurance & Technology November 14, 2007 Kim Dorgan	Life Insurance Industry Would Benefit From Optional Federal Charter The future of insurance regulation remains one of the most critical issues facing the life insurance industry.
Registered Rep. March 6, 2009 Halah Touryalai	Federal Regulator For Insurance Firms? Barney Frank says Yes. House Financial Services Committee Chairman Barney Frank gave insurance lobbying groups something to argue about, saying he wants lawmakers to create an optional federal charter for insurance companies.
Registered Rep. June 18, 2010 Bill Singer	The UK Junks Its FSA, When Will We Junk The SEC The SEC is a gas-guzzling dinosaur of a vehicle whose engine warning-light went on years ago. It is a wheezing, dyspeptic boiler in our basement. Nothing good will come of this.
BusinessWeek June 25, 2009 Theo Francis & Mark Scott	European Regulators Target U.S. Firms New regulatory efforts by European policymakers may put American banks, insurers, and money managers at a competitive disadvantage.
CFO October 1, 2007 Rob Garver	One Nation, Left Behind The race to cut compliance-based capital has begun, and U.S. banks are trailing the pack -- badly.
BusinessWeek November 1, 2004 Brady & Borrus	A Crazy Quilt Of Rules Why insurance regulations need national standards.
Knowledge@Wharton	Global Securities Markets Present Tough Challenges for Investors and Regulators The bursting of the Internet bubble, the collapse of Enron and the emerging demutualization of securities exchanges, especially in Europe, have brought the role of securities market regulators into sharper focus than before...
Bank Director 2nd Quarter 2010 Jack Milligan	Knee Deep in Regulation As part of the fallout from the latest financial crisis, bankers are wading through new layers of regulation while scanning for clearer skies ahead.
Financial Advisor October 2010 Andrew Gluck	Pulling The Switch Are state regulators ready to assume oversight of some 4,200 RIAs?
BusinessWeek August 26, 2009 Mark Scott	Europe's Bourses Are Losing Ground Fast European electronic upstarts are luring scads of stock trades away from the lumbering old exchanges.
Investment Advisor July 2008 Marlene Y. Satter	One Forward, Two Back? The Department of the Treasury released its Blueprint for a Modernized Financial Regulatory Structure, which sets forth an argument for the need for change in the financial services industry.
On Wall Street October 1, 2013	Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.
The Motley Fool April 14, 2008 Anand Chokkavelu	Why Paulson's Plan Works Saluting the Secretary of the Treasury's proposed overhaul of financial institution regulations.
U.S. Banker December 2004 Karen Krebsbach	Fear Factor The banking industry is feeling blindsided. Stunned by the recent escalation in anti-money-laundering enforcement-punctuated by the International Bank of Miami, AmSouth and Riggs cases--the industry is on the defensive.
The Motley Fool April 11, 2008 Tom Hutchinson	Capital Ratio Fever Just as blood pressure and heart rate are vital measures of physical health, capital ratios are vital measures of the health and solvency of banks. Right now, those vital signs reflect a sick industry that's getting sicker.
Bank Systems & Technology June 18, 2009 Maria Bruno-Britz	The Financial Industry Reacts to Obama Regulatory Proposal Although most agree with the general principles outlined in the President's financial reform plan, they find several sticking points -- and IT won't be immune.
U.S. Banker August 2008 Michael Sisk	Banking's Private Equity Conundrum Despite the gnashing of teeth among regulators that private equity shops are secretive and will wreak havoc if let loose on the banking industry, it's a bit ironic how opaque the regulatory process itself is.
Bank Director 1st Quarter 2011 Jack Milligan	In the Eye of the Storm Former Comptroller of the Currency John C. Dugan speaks candidly about the financial crisis of 2008, the landmark Dodd-Frank Act and the need for minimum loan underwriting standards for the banking industry.
BusinessWeek May 22, 2006 Sasseen & Weber	Taking Their Business Elsewhere Foreign companies are spurning U.S. exchanges. Regulation isn't the only reason. Foreign bourses have become so attractive to corporate chiefs that the NASDAQ and the NYSE, eager to compete, are trying to buy them.
BusinessWeek November 5, 2007 Chi-Chu Tschang	Chinese Banks Head for the U.S. American banks are a bargain these days - and Chinese financial firms with big plans are buying.
Wall Street & Technology January 6, 2006 Ivy Schmerken	Everything's Coming Up Hybrid Will a joint NYSE - NASD regulator result in the $100 million-a-year savings that the NASD is proposing in the hybrid regulation of dual member firms?
BusinessWeek May 7, 2007 Stanley Reed	Europe: The Making Of A Monolith ABN AMRO signals the euro zone's superpower status.
BusinessWeek August 15, 2005 Mara Der Hovanesian	A Street-Savvy Bank Cop New York State Superintendent of Banks Diana Taylor is fiercely focused on protecting consumers.
BusinessWeek June 25, 2009 Michael Mandel	Financial Rules: Why a Global Fix Is So Far Off The financial crisis just hasn't been bad enough for G-20 leaders to cede power to international regulators.
Bank Systems & Technology December 29, 2009 Henry Ristuccia	Washington's Regulatory Agenda Will Shape Banks' Risk IT Strategies Now is the time to examine governance, risk and regulatory compliance processes and to get your house in order so that your bank can be ahead of any requirements that may be enacted.
On Wall Street July 1, 2009 Mark Astarita	The SEC's "Feel Good" Committee The Securities and Exchange Commission announces the formation of an Investor Advisory Committee, which it says will give investors a greater voice in its work.
U.S. Banker December 2009 Glen Fest	CFPA: Exemption in Name Only? As details emerged on an amendment to exempt small banks from exams by the proposed consumer financial protection regulator, some have begun to question what exactly these second- and third-tier banks have won.
CFO September 1, 2002 Alix Nyberg	Exchange Shopping European stock exchanges may be aggressively marketing to foreign firms. But U.S. companies need a good business reason to list overseas.
Registered Rep. June 21, 2007 John Churchill	New Name, New Agenda for NASD/NYSE Entity SIRA stands for Securities Industry Regulatory Authority, which will be the largest self-regulatory organization in the world.
U.S. Banker September 2010 Alan Kline	Not All Doom and Gloom There's not much upside for big banks, but the widely disliked Dodd-Frank Act has some benefits for community banks.
Investment Advisor July 2008 Savita Iyer-Ahrestani	Shrinking Planet Even as globalization has opened up the world of cross-border investing and money management, individuals will only be able to realize its full potential if countries support globalization with the right kind of regulatory systems.