FDIC Announces New Members for the Advisory Committee on Community Banking — 2019-10-08
The Federal Deposit Insurance Corporation (FDIC) today announced the selection of four new members to its Advisory Committee on Community Banking, which…
Banking
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Stocks
Agencies Finalize Changes to Simplify Volcker Rule
Five federal financial regulatory agencies on Tuesday announced that they finalized revisions to simplify compliance requirements relating to the “Volcker rule.” By…
Stocks
SEC Names Katharine E. Zoladz as Associate Regional Director in Los Angeles Office
The Securities and Exchange Commission today announced that Katharine E. Zoladz has been named Associate Regional Director for enforcement in the Los…
Investing
September 2019 Employment Situation — 2019-10-04
The unemployment rate declined to 3.5 percent in September, and total nonfarm payroll employment rose by 136,000, the U.S. Bureau of Labor…
Investing
Commissioner's Statement on the Employment Situation News Release — 2019-10-04
Advance copies of this statement are made available to the press under lock-up conditions with the explicit understanding that the data are…
Banking
FDIC Issues List of Banks Examined for CRA Compliance — 2019-10-04
The Federal Deposit Insurance Corporation (FDIC) today issued its list of state nonmember banks recently evaluated for compliance with the Community Reinvestment…
Investing
Metropolitan Area Employment and Unemployment (Monthly) News Release — 2019-10-02
Unemployment rates were lower in August than a year earlier in 224 of the 389 metropolitan areas, higher in 132 areas, and…
Banking
Agencies Issue Final Rule to Update Management Interlock Rules — 2019-10-02
The federal bank regulatory agencies today finalized updates to rules restricting the ability of a director or other management official to serve…
Stocks
SEC Obtains Final Judgments Against Lek Securities and CEO in Layering, Manipulation Case
On October 1, 2019, a federal court judge entered final judgments against New York-based brokerage firm Lek Securities Corp. and Chief Executive…
Stocks
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure
The Securities and Exchange Commission today proposed to require an amendment to a national market system plan (NMS plan) that would establish…
Stocks
SEC’s Message for 2019 World Investor Week: Start Early
The Securities and Exchange Commission today announced that during World Investor Week staff will participate in more than 50 events around the…
Banking
FDIC Announces Personnel Changes — 2019-09-30
The Federal Deposit Insurance Corporation (FDIC) today announced the appointment of John F. Vogel as Deputy Director Operations and Chief of Staff…
Crypto
SEC Orders Blockchain Company to Pay $24 Million Penalty for Unregistered ICO
The Securities and Exchange Commission today announced settled charges against blockchain technology company Block.one for conducting an unregistered initial coin offering of…
Investing
SEC Charges Hedge Fund Adviser and Top Executives With Fraud
The Securities and Exchange Commission today charged SBB Research Group, LLC, a Chicago-area hedge fund adviser and its two top executives with…
Stocks
SEC Orders an Additional 16 Self-Reporting Advisory Firms to Pay Nearly $10 Million to Investors
The Securities and Exchange Commission today announced settled charges against 17 investment advisers for disclosure failures regarding their mutual fund share class…
Banking
FDIC Makes Public August Enforcement Actions — 2019-09-27
; One Administrative Hearing Scheduled for October 2019 The Federal Deposit Insurance Corporation (FDIC) today released a list of orders of administrative…
Banking
Federal Banking Agencies Issue Final Rule to Exempt Residential Real Estate Transactions of $400,000 or Less from Appraisal Requirements — 2019-09-27
WASHINGTON— The Federal Reserve, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency have adopted a final…
Stocks
Two BMO Advisory Firms Pay Over $37 Million to Harmed Clients for Failing to Disclose Conflicts of Interest
The Securities and Exchange Commission today announced that two BMO advisers have agreed to pay over $37 million to settle charges regarding…
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…
Stocks
SEC Charges Canadian Clean Fuel Technology Company and Former CEO with FCPA Violations
The Securities and Exchange Commission today announced that Westport Fuels Systems, Inc., a Canadian clean fuel technology company headquartered in Vancouver, Canada…
Stocks
Automaker to Pay $40 Million for Misleading Investors
The Securities and Exchange Commission today charged Michigan-based automaker FCA US LLC, and its parent company, Fiat Chrysler Automobiles N.V., for misleading…
Stocks
Herbalife to Pay $20 Million for Misleading Investors
The Securities and Exchange Commission today announced that Herbalife Nutrition Ltd.—a direct selling company with operations in over 90 countries— has agreed…
Stocks
Mylan to Pay $30 Million for Disclosure and Accounting Failure Relating to EpiPen
The Securities and Exchange Commission today announced charges against Pennsylvania-based pharmaceutical company Mylan N.V. for accounting and disclosure failures relating to a…
Stocks
SEC Charges Marketing and Printing Services Provider with FCPA Violations
The Securities and Exchange Commission today announced that Quad/Graphics Inc., a Wisconsin-based digital and print marketing provider, has agreed to pay nearly…