Longfin CEO Settles Fraud Action
The Securities and Exchange Commission today announced that Longfin Corp. CEO Venkata S. Meenavalli has agreed to pay $400,000 in disgorgement and…
Stocks
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SEC Charges Six Individuals in International Microcap Fraud Schemes
The Securities and Exchange Commission today charged six individuals and their companies with participating in schemes that allegedly generated more than $35…
Banking
Agencies Release Annual CRA Asset-Size Threshold Adjustments for Small and Intermediate Small Institutions — 2019-12-31
WASHINGTON—The federal bank regulatory agencies today announced the annual adjustment to the asset-size thresholds used to define small bank, small savings association…
Stocks
SEC Proposes to Codify Certain Consultations and Modernize Auditor Independence Rules
The Securities and Exchange Commission today announced that it is proposing amendments to codify certain staff consultations and modernize certain aspects of…
Banking
FDIC Makes Public November Enforcement Actions — 2019-12-27
No Administrative Hearings Scheduled for January 2020 The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of administrative enforcement…
Banking
FDIC's Supervisory Insights Fall 2019 Edition Focuses on Commercial Real Estate Lending and the Leveraged Lending Market — 2019-12-23
FDIC’s Supervisory Insights Fall 2019 Edition Focuses on Commercial Real Estate Lending and the Leveraged Lending Market The Federal Deposit Insurance Corporation…
Investing
Susan Nash, Associate Director in Division of Investment Management, to Leave SEC After 30 Years of Public Service
The Securities and Exchange Commission today announced that Susan Nash, Associate Director and Senior Policy Advisor to the Director, Division of Investment…
Investing
State Employment and Unemployment (Monthly) News Release — 2019-12-20
Unemployment rates were lower in November in 7 states, higher in 5 states, and stable in 38 states and the District of…
Investing
SEC Charges Recidivist Investment Adviser With Defrauding Retirees
The Securities and Exchange Commission today charged Sacramento, California-based investment adviser firm Springer Investment Management, Inc. dba Springer Financial Advisors (SFA) and…
Investing
SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
The Securities and Exchange Commission today announced the appointment of Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion. In…
Stocks
Small Business Advocate Releases First Annual Report
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation today released its inaugural Annual Report for Fiscal…
Stocks
SEC Files Charges in Ponzi Scheme Targeting Hispanic Community
The Securities and Exchange Commission today announced charges against Edward Espinal, of Wayne, New Jersey, and his company, Cash Flow Partners LLC…
Stocks
SEC Names David Bottom as Chief Information Officer
The Securities and Exchange Commission (SEC) today announced that David Bottom has been appointed as the agency’s Chief Information Officer (CIO). In…
Investing
Employer Costs for Employee Compensation News Release — 2019-12-18
State and local government compensation averaged $51.66 per hour worked in September 2019, the U.S. Bureau of Labor Statistics reported today. Wages…
Stocks
MetLife to Pay $10 Million for Longstanding Internal Control Failures
The Securities and Exchange Commission today charged MetLife, Inc. with violating the books and records and internal accounting controls provisions of the…
Stocks
SEC Charges Broker-Dealers With Illicitly Profiting in Partial Tender Offer
The Securities and Exchange Commission today announced settled charges against two registered broker-dealers, Bluefin Trading LLC and Critical Trading LLC, for violating…
Investing
Issuer Settles Unregistered ICO Charges, Agrees to Return Funds and Register Tokens
The Securities and Exchange Commission today announced settled charges against blockchain technology company Blockchain of Things Inc. (BCOT) for conducting an unregistered…
Stocks
SEC Approves 2020 PCAOB Budget and Accounting Support Fee
The Securities and Exchange Commission voted today to approve the 2020 budget of the Public Company Accounting Oversight Board (PCAOB) and the…
Stocks
SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments
The Securities and Exchange Commission voted to propose amendments to the definition of accredited investor, one of the principal tests for who…
Stocks
SEC Proposes Rules to Implement the Statutory Mandate to Adopt Resource Extraction Disclosure Rules
Following a series of Commission actions, court proceedings and Congressional action, the Securities and Exchange Commission today voted to propose rules that…
Stocks
SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
The Securities and Exchange Commission today adopted a package of rule amendments, guidance, and a related order to expand and improve the…
Stocks
SEC Adopts Risk Mitigation Techniques for Uncleared Security-Based Swaps
The Securities and Exchange Commission today voted to adopt rules requiring the application of risk mitigation techniques to portfolios of uncleared security-based…
Investing
2018 Census of Fatal Occupational Injuries — 2019-12-17
There were 5,250 fatal work injuries recorded in the United States in 2018, a 2 percent increase from the 5,147 in 2017…
Investing
Job Openings and Labor Turnover Survey News Release — 2019-12-17
The number of job openings edged up to 7.3 million (+235,000) on the last business day of October, the U.S. Bureau of…