Broker-Dealer to Pay $2.75 Million Penalty for Providing Deficient Blue Sheet Data
The Securities and Exchange Commission today announced that Convergex Execution Solutions LLC, now known as Cowen Execution Services LLC, will pay $2.75…
Stocks
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Browse dated financial and economic source releases. Historical figures and rules may have changed.
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Investing
August 2018 Producer Price Index — 2018-09-12
The Producer Price Index for final demand declined 0.1 percent in August, seasonally adjusted, the U.S. Bureau of Labor Statistics reported today.…
Investing
SEC Charges Hedge Fund Adviser With Short-and-Distort Scheme
The Securities and Exchange Commission today charged a hedge fund adviser and his investment advisory firm with illegally profiting from a scheme…
Stocks
SEC Uses Data Analysis to Detect Cherry-Picking By Broker
The Securities and Exchange Commission today charged a New Jersey-based broker with misusing his access to customers’ brokerage accounts to enrich himself…
Stocks
United Technologies Charged With Violating FCPA
The Securities and Exchange Commission today announced that Connecticut-based United Technologies Corporation will pay $13.9 million to resolve charges that it violated…
Investing
2017 Consumer Expenditures Surveys — 2018-09-11
NOTE: This news release was reissued September 13, 2018, correcting data in table C. The table was originally published with 2016 data.…
Investing
Job Openings and Labor Turnover Survey News Release — 2018-09-11
The number of job openings was little changed at 6.9 million on the last business day of July, the U.S. Bureau of…
Banking
Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private — 2018-09-11 [2018-19649]
On July 17, 2018, the Agencies published in the Federal Register a notice of proposed rulemaking (proposal) that would amend the regulations…
Banking
Joint Release/Agencies Issue Statement Reaffirming the Role of Supervisory Guidance — 2018-09-11
Agencies Issue Statement Reaffirming the Role of Supervisory Guidance WASHINGTON—Five federal agencies today issued a joint statement explaining the role of supervisory…
Stocks
Elad Roisman Sworn In As SEC Commissioner
Elad L. Roisman has been sworn into office as an SEC Commissioner by SEC Chairman Jay Clayton. Mr. Roisman was nominated to…
Crypto
SEC Charges Digital Asset Hedge Fund Manager With Misrepresentations and Registration Failures
The Securities and Exchange Commission today announced its first-ever enforcement action finding an investment company registration violation by a hedge fund manager…
Stocks
SEC Charges ICO Superstore and Owners With Operating As Unregistered Broker-Dealers
The Securities and Exchange Commission today announced that TokenLot LLC, a self-described “ICO Superstore,” and its owners will settle charges that they…
Stocks
SEC Obtains Relief to Fully Reimburse Retail Investors Sold Unsuitable Product
The Securities and Exchange Commission today announced it has obtained monetary relief that will fully reimburse retail investors for losses on a…
Stocks
SEC Charges Two Brokers With Defrauding Customers
The Securities and Exchange Commission charged two brokers for recommending excessive levels of trading that were costly for retail customers but lucrative…
Investing
August 2018 Employment Situation — 2018-09-07
Total nonfarm payroll employment increased by 201,000 in August, and the unemployment rate was unchanged at 3.9 percent, the U.S. Bureau of…
Investing
Commissioner's Statement on the Employment Situation News Release — 2018-09-07
Advance copies of this statement are made available to the press under lock-up conditions with the explicit understanding that the data are…
Stocks
SEC Charges Microcap Fraudsters for Roles in Lucrative Market Manipulation Schemes
The Securities and Exchange Commission today charged a group of 10 individuals and 10 associated entities for their participation in long-running fraudulent…
Investing
2018 Second Quarter (Revised) Productivity and Costs — 2018-09-06
Nonfarm business sector labor productivity increased 2.9 percent during the second quarter of 2018, the U.S. Bureau of Labor Statistics reported today…
Stocks
SEC Charges Real Estate Broker With FCPA Violations
The Securities and Exchange Commission today announced settled FCPA charges against a New Jersey real estate broker arising out of his attempt…
Stocks
SEC Names Anita Bandy and Carolyn Welshhans as Associate Directors in Enforcement Division
The Securities and Exchange Commission today announced that Anita B. Bandy and Carolyn M. Welshhans have been named Associate Directors in the…
Stocks
SEC Awards More Than $54 Million to Two Whistleblowers
The Securities and Exchange Commission is awarding $39 million to one whistleblower and $15 million to another whose critical information and continued…
Banking
FDIC Issues List of Banks Examined for CRA Compliance — 2018-09-05
The Federal Deposit Insurance Corporation (FDIC) today issued its list of state nonmember banks recently evaluated for compliance with the Community Reinvestment…
Banking
FDIC's Supervisory Insights Summer Edition Focuses on Lending to the Oil and Gas Sector — 2018-09-05
FDIC’s Supervisory Insights Summer Edition Focuses on Lending to the Oil and Gas Sector The Federal Deposit Insurance Corporation (FDIC) today issued…
Stocks
SEC Charges Two Men With Fraud in Fake Trading Accounts Scheme
The Securities and Exchange Commission today charged two Michigan men with fraud for their roles in a fake accounts scheme perpetrated by…