SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names
The Securities and Exchange Commission today adopted amendments to the Investment Company Act “Names Rule,” which addresses fund names that are likely…
Investing
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State Job Openings and Labor Turnover News Release - 2023 M07 Results — 2023-09-19
Job openings rates decreased in 9 states and increased in 3 states on the last business day of July, the U.S. Bureau…
Investing
State Employment and Unemployment (Monthly) News Release - 2023 M08 Results — 2023-09-19
Unemployment rates were higher in August in 10 states, lower in 2 states, and stable in 38 states and the District of…
Stocks
SEC Charges California Resident with Multimillion Dollar Ponzi Scheme Targeting Tongan American Community
The Securities and Exchange Commission today charged Richmond, California resident Tilila Walker Sumchai with raising approximately $11.8 million from more than 1,000…
Investing
SEC Charges New York Firm Concord Management and Owner with Acting as Unregistered Investment Advisers to Billionaire Former Russian Official
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael…
Stocks
SEC Investor Advisory Committee to Discuss Exempt Offerings and Accredited Investors at September 21 Meeting
The Securities and Exchange Commission’s Investor Advisory Committee will hold a public, in-person, meeting on September 21 at 10 a.m. ET at…
Stocks
SEC Charges CBRE, Inc. with Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against CBRE, Inc. (CBRE), a Dallas-based commercial real estate services and investment firm…
Stocks
SEC Issues New Strategic Plan for Diversity, Equity, Inclusion, and Accessibility
The Securities and Exchange Commission today announced that it has posted to sec.gov the agency’s Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic…
Stocks
SEC Charges Lyft with Failure to Disclose Board Member’s Financial Interest in Private Shareholder’s Pre-IPO Stock Transaction
The Securities and Exchange Commission today charged Lyft Inc. for failing to disclose a company board director’s role in a shareholder’s sale…
Investing
August 2023 U.S. Import and Export Price Indexes — 2023-09-15
U.S. import prices rose 0.5 percent in August, after ticking up 0.1 percent the previous month, the U.S. Bureau of Labor Statistics…
Stocks
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily…
Investing
August 2023 Producer Price Index — 2023-09-14
The Producer Price Index for final demand increased 0.7 percent in August, seasonally adjusted, after rising 0.4 percent in July, the U.S.…
Banking
OCC Reports Second Quarter 2023 Bank Trading Revenue — 2023-09-14
WASHINGTON—The Office of the Comptroller of the Currency (OCC) reported cumulative trading revenue of U.S. commercial banks and savings associations of $13.7…
Stocks
SEC Charges Connecticut Advisory Firm GlennCap and its Owner with Cherry-Picking
The Securities and Exchange Commission today announced settled fraud charges against GlennCap LLC, a Connecticut-based investment advisory firm, and its owner, Jonathan…
Investing
August 2023 Consumer Price Index — 2023-09-13
The Consumer Price Index for All Urban Consumers (CPI-U) rose 0.6 percent in August on a seasonally adjusted basis, after increasing 0.2…
Investing
August 2023 Real Earnings — 2023-09-13
Real average hourly earnings for all employees decreased 0.5 percent from July to August, seasonally adjusted, the U.S. Bureau of Labor Statistics…
Banking
OCC Hosts Mutual Savings Association Advisory Committee Meeting October 3 — 2023-09-13
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today announced it will host a public meeting of the Mutual Savings Association…
Stocks
SEC Proposes Improvements to EDGAR Filer Access and Account Management
The Securities and Exchange Commission today proposed rule and form amendments to improve filer access to and management of accounts on the…
Stocks
SEC Charges Creator of Stoner Cats Web Series for Unregistered Offering of NFTs
The Securities and Exchange Commission today charged Stoner Cats 2 LLC (SC2) with conducting an unregistered offering of crypto asset securities in…
Stocks
SEC Small Business Advisory Committee to Discuss Funding for Early-Stage Companies and Alternative Funding for Small Businesses
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee today released the agenda for its meeting on Tuesday, September 19.…
Investing
Employer Costs for Employee Compensation News Release - 2023 Q02 Results — 2023-09-12
Employer costs for employee compensation for civilian workers averaged $43.26 per hour worked in June 2023, the U.S. Bureau of Labor Statistics…
Stocks
SEC Charges Virtu for False and Misleading Disclosures Relating to Information Barriers
The Securities and Exchange Commission today filed charges against broker-dealer Virtu Americas LLC and its parent company, Virtu Financial Inc. (collectively, Virtu)…
Stocks
SEC Charges Alternative Investment Platform YieldStreet for Misleading Investors
The Securities and Exchange Commission today announced a settled action against New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet…
Stocks
SEC Charges National Office Partner at Marcum for Causing Widespread Quality Control Deficiencies
The Securities and Exchange Commission today charged Alfonse Gregory Giugliano, CPA, the former National Assurance Services Leader at Marcum LLP, a public…