SEC Names Vanessa Countryman to Lead the Office of the Secretary
The Securities and Exchange Commission today announced that Vanessa Countryman has been appointed as the agency’s Secretary. The Secretary is responsible for…
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Joint Statement on Opportunistic Strategies in the Credit Derivatives Market
U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, U.S. Commodity Futures Trading Commission (CFTC) Chairman J. Christopher Giancarlo, and U.K. Financial…
Investing
State Employment and Unemployment (Monthly) News Release — 2019-06-21
Unemployment rates were lower in May in 6 states, higher in 2 states, and stable in 42 states and the District of…
Stocks
SEC Adopts Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Amends the Capital and Segregation Requirements for Broker-Dealers
The Securities and Exchange Commission took another significant step toward establishing the regulatory regime for security-based swap dealers today by adopting a…
Stocks
SEC Wins Jury Trial Against Broker Charged With Defrauding Customers
Jurors in Manhattan federal court today returned a verdict in the Securities and Exchange Commission’s favor against a broker who was charged…
Stocks
SEC Charges Intelligence Communications Company and Top Executives With Defrauding Merger Investors
The SEC has charged Ability Inc., an Israel-based intelligence communications company, its wholly-owned subsidiary, and two of its top executives with defrauding…
Stocks
Walmart Charged With FCPA Violations
The Securities and Exchange Commission today charged Walmart with violating the Foreign Corrupt Practices Act (FCPA) by failing to operate a sufficient…
Stocks
SEC Freezes Assets in International Manipulative Trading Scheme
The Securities and Exchange Commission today announced charges against five foreign traders for executing illegal matched trades in the stock of Medico…
Investing
2018 American Time Use Survey — 2019-06-19
In 2018, 89 percent of full-time employed persons worked on an average weekday, compared with 31 percent on an average weekend day…
Stocks
SEC Chairman Clayton Announces Events for Main Street Investors in Boston
Securities and Exchange Commission Chairman Jay Clayton announced today two events for Main Street investors to be held in Boston on Monday…
Investing
Employer Costs for Employee Compensation News Release — 2019-06-18
Employer costs for employee compensation for civilian workers averaged $36.77 per hour worked in March 2019, the U.S. Bureau of Labor Statistics…
Stocks
Wedbush to Pay More Than $8.1 Million for Improper Handling of ADRs
The Securities and Exchange Commission today announced that Wedbush Securities Inc. will pay more than $8.1 million to settle charges for improper…
Stocks
SEC Adopts Amendments to Improve the Application of the Auditor Independence Rules to Loan Provision
The Securities and Exchange Commission adopted amendments to the auditor independence rules relating to the analysis that must be conducted to determine…
Stocks
SEC Seeks Public Comment on Ways to Harmonize Private Securities Offering Exemptions
The Securities and Exchange Commission today requested public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand…
Banking
Agencies Release List of Distressed or Underserved Nonmetropolitan Middle-Income Geographies — 2019-06-17
Board of Governors of the Federal Reserve System Joint Release Federal Deposit Insurance Corporation Office of the Comptroller of the Currency Agencies…
Banking
Agencies Issue Final Rule to Streamline Regulatory Reporting Requirements and Commit to Further Review of Reporting Burdens for Small Institutions — 2019-06-17
The three federal bank regulatory agencies adopted a final rule to streamline regulatory reporting requirements for small institutions. The final rule implements…
Investing
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
The Securities and Exchange Commission today announced that Adam B. Glazer has been named Senior Advisor to the Director of the Division…
Stocks
KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
The Securities and Exchange Commission today charged KPMG LLP with altering past audit work after receiving stolen information about inspections of the…
Stocks
Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
The Securities and Exchange Commission today announced that Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a wholly-owned subsidiary of…
Investing
May 2019 U.S. Import and Export Price Indexes — 2019-06-13
Prices for U.S. imports declined 0.3 percent in May, the U.S. Bureau of Labor Statistics reported today, following an increase of 0.1…
Banking
FDIC’s Consumer Compliance Supervisory Highlights — 2019-06-13
The Federal Deposit Insurance Corporation (FDIC) today issued the new Consumer Compliance Supervisory Highlights publication. The purpose of this publication is to…
Banking
FDIC Cautions Customers That FDIConnect.com Is Not Affiliated With a Government Agency and Should Not Be Confused With FDICconnect.gov — 2019-06-13
The Federal Deposit Insurance Corporation (FDIC) advises bank customers on the potential for confusion between FDIConnect.com and the FDIC-run website, FDICconnect.gov. The…
Investing
May 2019 Consumer Price Index — 2019-06-12
The Consumer Price Index for All Urban Consumers (CPI-U) increased 0.1 percent in May on a seasonally adjusted basis after rising 0.3…
Investing
May 2019 Real Earnings — 2019-06-12
Real average hourly earnings for all employees increased 0.2 percent from April to May, seasonally adjusted, the U.S. Bureau of Labor Statistics…