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
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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…
Investing
SEC Charges Cannabis Investment Fund and Founder in Fraudulent Scheme
The Securities and Exchange Commission today charged a Texas-based investment fund and its founder with defrauding investors with false promises of massive…
Banking
Joint Release/Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the "Volcker Rule" — 2018-09-04
Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule” Five federal financial regulatory agencies on Tuesday extended until…
Banking
FDIC Announces Senior Personnel Changes — 2018-09-04
Names Chief Operating Officer and Deputy to the Chairman for Policy Federal Deposit Insurance Corporation (FDIC) Chairman Jelena McWilliams today announced the…
Stocks
SEC Names Rebecca J. Olsen as Director of the Office of Municipal Securities
The Securities and Exchange Commission today announced that Rebecca J. Olsen has been named Director of the agency's Office of Municipal Securities…
Stocks
SEC Charges Telecommunications Expense Management Company With Accounting Fraud
The Securities and Exchange Commission today charged a telecommunications expense management company for its use of fraudulent accounting practices that artificially boosted…
Stocks
Sanofi Charged With FCPA Violations
The Securities and Exchange Commission today announced that Paris-based pharmaceutical company Sanofi has agreed to pay more than $25 million to resolve…
Stocks
Agencies Extend Comment Period for Proposed Rule Simplifying and Tailoring the “Volcker Rule”
Joint Release Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation Office of the Comptroller…
Banking
Liquidity Coverage Ratio Rule: Treatment of Certain Municipal Obligations as High-Quality Liquid Assets — 2018-08-31 [2018-18610]
The OCC, the Board, and the FDIC (collectively, the agencies) are jointly issuing and inviting comment on an interim final rule that…
Banking
FDIC Issues CRA Examination Schedules for Fourth Quarter 2018 and First Quarter 2019 — 2018-08-31
The Federal Deposit Insurance Corporation (FDIC) today issued the lists of institutions scheduled for a Community Reinvestment Act (CRA) examination during the…
Banking
Joint Release/Agencies Extend Deadline for Certain Resolution Plan Submissions — 2018-08-30
Agencies Extend Deadline for Certain Resolution Plan Submissions The Federal Reserve Board and the FDIC on Thursday announced that they have extended…
Investing
SEC Charges Buffalo Advisory Firm and Principal With Fraud Relating to Association With Barred Adviser
The Securities and Exchange Commission today filed charges against a Buffalo, New York, investment advisory firm and its owner for misleading firm…
Investing
Metropolitan Area Employment and Unemployment (Monthly) News Release — 2018-08-29
Unemployment rates were lower in July than a year earlier in 323 of the 388 metropolitan areas, higher in 41 areas, and…