SEC Announces Three Actions Charging Deficient Cybersecurity Procedures
The Securities and Exchange Commission today sanctioned eight firms in three actions for failures in their cybersecurity policies and procedures that resulted…
Stocks
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Banking
OCC to Hold Hearing on Charges Against Biagio Maffettone; Agency Seeks Prohibition Order and Civil Money Penalty — 2021-08-27
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today announced a public hearing before an Administrative Law Judge beginning Tuesday, August…
Banking
Agencies Issue Guide to Help Community Banks Evaluate Fintech Relationships — 2021-08-27
The federal bank regulatory agencies today released a guide intended to help community banks assess risks when considering relationships with financial technology…
Banking
OCC Allows National Banks and Federal Savings Associations Affected by Hurricane Ida to Close — 2021-08-27
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today issued a proclamation allowing national banks, federal savings associations, and federal branches…
Banking
Joint Release/Agencies Issue Guide to Help Community Banks Evaluate Fintech Relationships — 2021-08-27
Agencies Issue Guide to Help Community Banks Evaluate Fintech Relationships The federal bank regulatory agencies today released a guide intended to help…
Banking
FDIC Makes Public July Enforcement Actions — 2021-08-27
No Administrative Hearings Scheduled for September 2021 WASHINGTON - The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of…
Stocks
SEC Issues Whistleblower Awards Totaling $2.6 Million
The Securities and Exchange Commission today announced awards of approximately $2.6 million to five whistleblowers who provided information and assistance in three…
Investing
SEC Requests Information and Comment on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on… (2021-08-27)
The Securities and Exchange Commission today announced that it is requesting information and public comment on matters related to the use of…
Investing
2019 Multifactor Productivity Trends for Detailed Industries — 2021-08-26
Multifactor productivity�defined as output per unit of combined inputs--fell in 61 of the 86 4-digit NAICS manufacturing industries in 2019, the U.S.…
Stocks
SEC Charges Underwriter and Its Former CEO With Misconduct In Muni Bond Tender Offer
The Securities and Exchange Commission today instituted settled charges against Crews & Associates Inc., an Arkansas-based broker-dealer, and its former CEO, Rush…
Banking
OCC Issues Fourth Quarter 2021 and First Quarter 2022 CRA Evaluation Schedule — 2021-08-25
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released its schedule of Community Reinvestment Act (CRA) evaluations to be conducted…
Stocks
Chair Gensler Announces Addition of Barbara Roper to Senior Staff
The Securities and Exchange Commission today announced the appointment of Barbara Roper as Senior Advisor to the Chair. Ms. Roper's focus will…
Stocks
SEC Charges Former CEO of Technology Company With $80 Million Fraud
The Securities and Exchange Commission today charged Manish Lachwani, the former CEO of HeadSpin Inc., a Silicon Valley-based private technology company, with…
Investing
SEC Obtains Emergency Relief, Charges Investment Adviser and Its Principal with Operating $110 Million Ponzi Scheme
On Aug. 20, 2021, the Securities and Exchange Commission filed an emergency action to stop a fraudulent Ponzi scheme allegedly perpetrated by…
Stocks
SEC Charges Healthcare Services Company and CFO for Failing to Accurately Report Loss Contingencies as part of Continuing EPS Initiative
The Securities and Exchange Commission today announced that Pennsylvania-based Healthcare Services Group, Inc. has agreed to pay $6 million to settle charges…
Stocks
Fee Rate Advisory #1 for Fiscal Year 2022
The Securities and Exchange Commission today announced that in fiscal year 2022 the fees that public companies and other issuers pay to…
Investing
State Employment and Unemployment (Monthly) News Release — 2021-08-20
Unemployment rates were lower in July in 17 states and the District of Columbia and stable in 33 states, the U.S. Bureau…
Stocks
SEC Enhances Access to Financial Disclosure Data
The Securities and Exchange Commission today announced open data enhancements that provide public access to financial statements and other disclosures made by…
Investing
2021 Summer Employment and Unemployment Among Youth — 2021-08-18
In July 2021, 54.4 percent of young people (persons ages 16 to 24) were employed, the U.S. Bureau of Labor Statistics reported…
Investing
County Employment and Wages News Release — 2021-08-18
From March 2020 to March 2021, employment decreased in 324 of the 343 largest U.S. counties, the U.S. Bureau of Labor Statistics…
Stocks
SEC Charges Netflix Insider Trading Ring
The Securities and Exchange Commission today announced insider trading charges against three former Netflix Inc. software engineers and two close associates who…
Investing
SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
The Securities and Exchange Commission today announced settled charges against Murchinson Ltd.; its principal, Marc Bistricer; and its trader, Paul Zogala (the…
Stocks
SEC Charges Biopharmaceutical Company Employee with Insider Trading
The Securities and Exchange Commission today charged a former employee of California-based Medivation Inc. with insider trading in advance of Medivation's announcement…
Banking
Bank Accounting Advisory Series Updated — 2021-08-16
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released an update to the Bank Accounting Advisory Series (BAAS). The BAAS…