SEC Retail Strategy Task Force to Host Roundtable on Combating Elder Investor Fraud
The Securities and Exchange Commission Retail Strategy Task Force will host a roundtable on Oct. 3 on combating elder investor fraud. The…
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SEC Charges Three Individuals with Deceiving Main Street Investors Through the Sale of Binary Options
The Securities and Exchange Commission today charged three foreign individuals, Gil Beserglik, Raz Beserglik and Kai Christian Petersen, with deceiving U.S. investors…
Investing
SEC Adopts New Rule to Modernize Regulation of Exchange-Traded Funds
The Securities and Exchange Commission today announced that it has voted to adopt a new rule and form amendments that are designed…
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SEC Proposes Amendments to Enhance Retail Investor Protections
The Securities and Exchange Commission today announced that it has voted to propose amendments to Exchange Act Rule 15c2-11, which sets out…
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SEC Adopts New Rule to Allow All Issuers to “Test-the-Waters”
The Securities and Exchange Commission today announced that it has voted to adopt a new rule that extends a “test-the-waters” accommodation—currently a…
Investing
Characteristics of Unemployment Insurance Applicants and Benefit Recipients — 2018 — 2019-09-25
(NOTE: This news release was reissued on November 7, 2019, to correct errors in tables 1, 2, and 3 and in the…
Investing
Job Flexibilities and Work Schedules — 2017–2018 — 2019-09-24
In 2017-18, about 36 million wage and salary workers (25 percent) worked at home at least occasionally, and 15 percent of wage…
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SEC Charges TMC Bonds With Failing to Protect Confidential Subscriber Information
The Securities and Exchange Commission today announced that TMC Bonds LLC, operator of an alternative trading system (ATS) for fixed income securities…
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SEC Charges Comscore Inc. and Former CEO with Accounting and Disclosure Fraud
The Securities and Exchange Commission today charged global information and media analytics firm, Comscore, Inc., and its former CEO with engaging in…
Banking
FDIC's Office of the Ombudsman Publishes 2018 Annual Report — 2019-09-23
FDIC’s Office of the Ombudsman Publishes 2018 Annual Report The Federal Deposit Insurance Corporation’s (FDIC’s) Office of the Ombudsman, an independent, neutral…
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SEC Brings New Charges in Multimillion Dollar Boiler Room Schemes
The Securities and Exchange Commission today announced new charges arising from a New York-based boiler-room scheme, alleging that Benjamin Conde orchestrated the…
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SEC Charges PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
The Securities and Exchange Commission today charged accounting firm PricewaterhouseCoopers LLP with improper professional conduct in connection with 19 engagements on behalf…
Investing
Remarks of Deputy Secretary Justin Muzinich at the 2019 US Treasury Market Structure Conference
INTRODUCTIONGood morning. It is great to be here to speak on behalf of the U.S. Treasury. I would first like to thank…
Investing
State Employment and Unemployment (Monthly) News Release — 2019-09-20
Unemployment rates were lower in August in 5 states, higher in 3 states, and stable in 42 states and the District of…
Investing
2019 Employee Benefits in the United States — 2019-09-19
Retirement benefits were available to 91 percent of state and local government workers in March 2019, the U.S. Bureau of Labor Statistics…
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SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
The Securities and Exchange Commission today announced that it took a significant step toward establishing the regulatory regime for security-based swap dealers…
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SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
The Securities and Exchange Commission today sued ICOBox and its founder Nikolay Evdokimov for conducting an illegal $14 million securities offering of…
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SEC Halts Alleged $125 Million Offering Fraud
The Securities and Exchange Commission today announced that it has filed an emergency action and obtained a temporary restraining order and asset…
Investing
Employer Costs for Employee Compensation News Release — 2019-09-17
Employer costs for employee compensation averaged $36.61 per hour worked in June 2019, the U.S. Bureau of Labor Statistics reported today. Wages…
Banking
FDIC Finalizes Rules to Simplify Capital Calculation for Qualifying Community Banking Organizations and to Early Adopt Certain Related Simplifications to the Regulatory Capital Requirements — 2019-09-17
The FDIC today finalized a rule that introduces an optional simplified measure of capital adequacy for qualifying community banking organizations (i.e., the…
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SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
The Securities and Exchange Commission today announced that it has proposed rules to update the statistical disclosures that bank and savings and…
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Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
The Securities and Exchange Commission today instituted a settled order against three Raymond James entities for improperly charging advisory fees on inactive…
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Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
The Securities and Exchange Commission today announced that Stifel, Nicolaus & Co., Inc. has agreed to pay $2.7 million and BMO Capital…
Investing
SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making…