SEC Staff Releases Report on Equity and Options Market Structure Conditions in Early 2021
The Securities and Exchange Commission today published a Staff Report on Equity and Options Market Structure Conditions in Early 2021, which focuses…
Stocks
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Investing
September 2021 U.S. Import and Export Price Indexes — 2021-10-15
Prices for U.S. imports increased 0.4 percent in September, after decreasing 0.3 percent the previous month, the U.S. Bureau of Labor Statistics…
Banking
OCC Releases Bank Supervision Operating Plan for Fiscal Year 2022 — 2021-10-15
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released its bank supervision operating plan for fiscal year (FY) 2022. The…
Stocks
SEC Awards $40 Million to Two Whistleblowers
The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the…
Investing
September 2021 Producer Price Index — 2021-10-14
The Producer Price Index for final demand increased 0.5 percent in September, seasonally adjusted, the U.S. Bureau of Labor Statistics reported today.…
Stocks
SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
The Securities and Exchange Commission today reopened the comment period on proposed rules for listing standards for the recovery of erroneously awarded…
Investing
September 2021 Consumer Price Index — 2021-10-13
The Consumer Price Index for All Urban Consumers (CPI-U) increased 0.4 percent in September on a seasonally adjusted basis after rising 0.3…
Investing
September 2021 Real Earnings — 2021-10-13
Real average hourly earnings for all employees increased 0.2 percent from August to September, seasonally adjusted, the U.S. Bureau of Labor Statistics…
Stocks
SEC Modernizes Filing Fee Disclosure and Payment Methods
The Securities and Exchange Commission today adopted amendments to modernize filing fee disclosure and payment methods. Operating companies and investment companies (funds)…
Investing
Job Openings and Labor Turnover Survey News Release — 2021-10-12
The number of job openings declined to 10.4 million on the last business day of August following a series high in July…
Investing
September 2021 Employment Situation — 2021-10-08
Total nonfarm payroll employment rose by 194,000 in September, and the unemployment rate fell by 0.4 percentage point to 4.8 percent, the…
Investing
Commissioner's Statement on the Employment Situation News Release — 2021-10-08
Nonfarm payroll employment rose by 194,000 in September, and the unemployment rate fell by 0.4 percentage point to 4.8 percent. Notable job…
Stocks
SEC Charges Hemp Company and Co-Founders With Fraud
The Securities and Exchange Commission today charged CanaFarma Hemp Products Corp. and its co-founders with fraudulently raising approximately $15 million from investors…
Banking
FDIC Issues List of Banks Examined for CRA Compliance — 2021-10-04
WASHINGTON - The Federal Deposit Insurance Corporation (FDIC) today issued its list of state nonmember banks recently evaluated for compliance with the…
Banking
FDITECH Selects Six Teams in Sprint for Banks to Measure and Test Resiliency — 2021-10-04
WASHINGTON – The Federal Deposit Insurance Corporation (FDIC) today announced the selection of six teams to participate in a ‘tech sprint’ designed…
Stocks
SEC Highlights Investor Protection for World Investor Week 2021
The Securities and Exchange Commission today announced that it will highlight investor education and protection resources during World Investor Week 2021 (WIW).…
Banking
OCC Releases CRA Evaluations for 14 National Banks and Federal Savings Associations — 2021-10-01
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became…
Banking
FDIC Names Charles Vice to Advisory Committee of State Regulators — 2021-10-01
Advisory panel to meet on October 6th to discuss a range of policy issues WASHINGTON – The Federal Deposit Insurance Corporation (FDIC)…
Stocks
SEC Charges Webcast Host for Role in Market Manipulation Scheme
The Securities and Exchange Commission today announced charges against Mark Melnick, the host of a stock trading webcast, for spreading more than…
Stocks
SEC Charges Rogue Trader Who Bankrupted His Firm
The Securities and Exchange Commission today charged Keith A. Wakefield, a former managing director and head of fixed income trading at IFS…
Investing
SEC Charges Former Executives of Registered Investment Adviser with Fraud
The Securities and Exchange Commission today charged Robert D. Press, the former CEO of the advisory firm TCA Fund Management Group Corp.…
Investing
Metropolitan Area Employment and Unemployment (Monthly) News Release — 2021-09-29
Unemployment rates were lower in August than a year earlier in 385 of the 389 metropolitan areas, higher in 3 areas, and…
Stocks
SEC Charges Investment Bank Compliance Analyst with Insider Trading in Parents’ Accounts and Obtains Asset Freeze
The Securities and Exchange Commission today charged Jose Luis Casero Sanchez, a Spanish national and former Senior Compliance Analyst who worked in…
Investing
SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
The Securities and Exchange Commission today proposed amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds, and certain other…