OCC Hosts Risk Governance and Credit Risk Workshops in Kansas City — 2022-05-31
WASHINGTON—The Office of the Comptroller of the Currency (OCC) will host two workshops June 28-29 in Kansas City for directors of national…
Banking
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Stocks
SEC Charges Company and Former CEO with Misleading Investors about Sale of Covid-19 Test Kits
The Securities and Exchange Commission today charged New York-based SCWorx Corp. and its former Chief Executive Officer and Chairman of the Board…
Stocks
SEC Announces Departure of Investor Advocate Rick A. Fleming
The Securities and Exchange Commission today announced that Investor Advocate Rick A. Fleming will depart the agency after more than eight years…
Investing
Productivity by State — 2021 — 2022-05-26
Labor productivity in the private nonfarm sector rose in 39 states and the District of Columbia in 2021, the U.S. Bureau of…
Banking
OCC Hosts Dallas Workshop for National Community Bank Board Directors, Bank Management — 2022-05-26
WASHINGTON — The Office of the Comptroller of the Currency (OCC) will host a workshop in Dallas for directors, senior management team…
Investing
County Employment and Wages News Release - 2021 Q04 Results — 2022-05-25
From December 2020 to December 2021, employment increased in 334 of the 343 largest U.S. counties, the U.S. Bureau of Labor Statistics…
Banking
OCC Issues Third and Fourth Quarter 2022 CRA Evaluation Schedule — 2022-05-25
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released its schedule of Community Reinvestment Act (CRA) evaluations to be conducted…
Investing
SEC Proposes to Enhance Disclosures by Certain Investment Advisers and Investment Companies About ESG Investment Practices
The Securities and Exchange Commission today proposed amendments to rules and reporting forms to promote consistent, comparable, and reliable information for investors…
Investing
SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
The Securities and Exchange Commission today proposed amendments to enhance and modernize the Investment Company Act “Names Rule” to address changes in…
Investing
SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser
The Securities and Exchange Commission today announced fraud charges against Detroit-based EIA All Weather Alpha Fund I Partners LLC (EIA) and its…
Stocks
SEC Charges RiverSource Distributors with Improper Switching of Variable Annuities
The Securities and Exchange Commission today announced settled charges against RiverSource Distributors Inc. for improper switching or replacing of variable annuities. This…
Stocks
SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc., and its co-founder, Daniel Pipitone, with falsely stating to the firm’s…
Banking
Acting Comptroller of the Currency Presents Bank Charter to Minority Depository Institution — 2022-05-23
WASHINGTON — Acting Comptroller of the Currency Michael J. Hsu today presented a full-service community national bank charter to Agility Bank, N.A.…
Investing
SEC Charges BNY Mellon Investment Adviser for Misstatements and Omissions Concerning ESG Considerations
The Securities and Exchange Commission today charged BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG)…
Investing
State Employment and Unemployment (Monthly) News Release - 2022 M04 Results — 2022-05-20
Unemployment rates were lower in April in 13 states and the District of Columbia and stable in 37 states, the U.S. Bureau…
Investing
SEC Charges Wells Fargo Advisors With Anti-Money Laundering Related Violations
The Securities and Exchange Commission today announced charges against Wells Fargo Advisors for failing to file at least 34 Suspicious Activity Reports…
Investing
2021 Foreign-born Workers: Labor Force Characteristics — 2022-05-18
The unemployment rate for foreign-born persons in the United States was 5.6 percent in 2021, down sharply from 9.2 percent in 2020…
Investing
State Job Openings and Labor Turnover News Release - 2022 M03 Results — 2022-05-18
Job openings rates increased in 8 states, decreased in 3 states, and were little changed in 39 states and the District of…
Banking
Acting Comptroller Issues Statement on Passing of John W. Ryan, President and CEO of the Conference of State Bank Supervisors — 2022-05-18
WASHINGTON—Acting Comptroller of the Currency Michael J. Hsu issued the following statement on the passing of John W. Ryan, President and CEO…
Banking
Acting Comptroller Issues Statement on Misuse of FDIC Name, Logo — 2022-05-17
WASHINGTON—Acting Comptroller of the Currency Michael J. Hsu issued the following statement at today’s Federal Deposit Insurance Corporation (FDIC) board meeting regarding…
Banking
Agencies Announce Public Meeting on Proposed Bank of Montreal Acquisition of BancWest Holding Inc. and Bank of the West; Public Comment Period Extended — 2022-05-17
The Federal Reserve Board (Board) and the Office of the Comptroller of the Currency (OCC) today announced a joint public meeting on…
Banking
Agencies Announce Public Meeting on the Proposed Acquisition by The Toronto-Dominion Bank of First Horizon Corporation; Public Comment Period Extended — 2022-05-17
The Federal Reserve Board (Board) and the Office of the Comptroller of the Currency (OCC) today announced a joint public meeting on…
Stocks
SEC Charges Allianz Global Investors and Three Former Senior Portfolio Managers with Multibillion Dollar Securities Fraud
The Securities and Exchange Commission (SEC) today charged Allianz Global Investors U.S. LLC (AGI US) and three former senior portfolio managers with…
Stocks
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath…