SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework
The Securities and Exchange Commission today announced that it has voted to propose a set of amendments that would harmonize, simplify, and…
Stocks
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Noticias
Financial news with original publication dates and source links.
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Stocks
SEC Names Kathleen M. Hutchinson as Deputy Director of International Affairs
The Securities and Exchange Commission today announced Kathleen M. Hutchinson as the new Deputy Director in the agency's Office of International Affairs…
Stocks
SEC Provides Conditional Regulatory Relief and Assistance for Companies Affected by the Coronavirus Disease 2019 (COVID-19)
Today, the Securities and Exchange Commission announced that it is providing conditional regulatory relief for certain publicly traded company filing obligations under…
Stocks
SEC Amends Rules to Improve Disclosure and Encourage Issuers to Conduct Debt Offerings on a Registered Basis
The Securities and Exchange Commission adopted amendments to the financial disclosure requirements applicable to registered debt offerings that include credit enhancements, such…
Investing
SEC Amends Exemptions from Investment Adviser Registration for Advisers to Rural Business Investment Companies
The Securities and Exchange Commission adopted amendments to two rules in order to implement congressionally mandated exemptions from registration for investment advisers…
Investing
SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names
The Securities and Exchange Commission requests public comment on its current requirements that restrict the use of potentially misleading fund names. Fund…
Crypto
Treasury Sanctions Individuals Laundering Cryptocurrency for Lazarus Group
WASHINGTON – The U.S. Department of the Treasury’s Office of Foreign Assets Control (OFAC) today sanctioned two Chinese nationals involved in laundering…
Banking
FDIC Issues CRA Examination Schedules for Second and Third Quarter 2020 — 2020-02-28
The Federal Deposit Insurance Corporation (FDIC) today issued the lists of institutions scheduled for a Community Reinvestment Act (CRA) examination during the…
Banking
FDIC Makes Public January Enforcement Actions — 2020-02-28
No Administrative Hearings Scheduled for March 2020 The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of administrative enforcement…
Stocks
Fee Rate Advisory #3 For Fiscal Year 2020
Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section…
Stocks
SEC Charges Cardinal Health With FCPA Violations
The Securities and Exchange Commission today announced that Ohio-based pharmaceutical company Cardinal Health, Inc. has agreed to pay more than $8 million…
Stocks
SEC Awards More Than $7 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $7 million to a whistleblower whose information and assistance were…
Stocks
SEC Charges South Carolina Energy Companies, Former Executives With Defrauding Investors
The Securities and Exchange Commission today charged SCANA Corp., two of its former top executives, and South Carolina Electric & Gas Co.…
Stocks
SEC Charges Wells Fargo In Connection With Investment Recommendation Practices
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network for failing…
Crypto
Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering
The Securities and Exchange Commission today announced settled charges against actor Steven Seagal for failing to disclose payments he received for promoting…
Investing
2019 Persons with a Disability: Labor Force Characteristics — 2020-02-26
In 2019, 19.3 percent of persons with a disability were employed, the U.S. Bureau of Labor Statistics reported today. In contrast, the…
Stocks
G. Jeffrey Boujoukos, Director of the Philadelphia Regional Office to Leave the SEC
The Securities and Exchange Commission today announced that G. Jeffrey Boujoukos, the Director of its Philadelphia Regional Office, will leave the agency…
Banking
FDIC-Insured Institutions Reported Net Income of $55.2 Billion in Fourth Quarter 2019 — 2020-02-25
FDIC-Insured Institutions Reported Net Income of $55.2 Billion in Fourth Quarter Full–Year 2019 Net Income Declined 1.5 Percent to $233.1 Billion…
Investing
EVENT POSTPONED: SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Given concerns about coronavirus and out of an abundance of caution, we have decided to postpone the National Compliance Outreach Program Seminar…
Banking
FDiTech Releases New Guide to Help 'FinTechs' Connect with Banks — 2020-02-24
FDIC seeks to promote innovation in banking to meet growing consumer demand WASHINGTON – In its continuing effort to encourage technological innovation…
Banking
FDIC Recognizes Four Institutions for Expanding Financial Literacy — 2020-02-24
Organizations honored during America Saves Week WASHINGTON – As America Saves Week approaches, the Federal Deposit Insurance Corporation (FDIC) today is recognizing…
Stocks
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting…
Banking
Joint Release/Federal Banking Agencies Host the 2020 National Interagency Community Reinvestment Conference — 2020-02-21
Federal Banking Agencies Host the 2020 National Interagency Community Reinvestment Conference The 2020 National Interagency Community Reinvestment Conference takes place in Denver…
Stocks
Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit
The Securities and Exchange Commission today charged California-based Wells Fargo & Co. for misleading investors about the success of its core business…