Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
The Securities and Exchange Commission today announced that Dalia Blass, Director of the Division of Investment Management, will depart the SEC in…
Investing
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Investing
SEC Adopts Modernized Marketing Rule for Investment Advisers
The Securities and Exchange Commission today announced it had finalized reforms under the Investment Advisers Act to modernize rules that govern investment…
Stocks
SEC Awards Over $1.6 Million to Whistleblower
The Securities and Exchange Commission today announced an award of more than $1.6 million to a whistleblower whose tip significantly contributed to…
Stocks
SEC Issues Substituted Compliance Order for Germany and Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for France
The Securities and Exchange Commission voted to take two actions to advance implementation of security-based swap regulation under Title VII of the…
Stocks
SEC and CONSOB Sign New Supervisory Cooperation Arrangement
The Securities and Exchange Commission and the Commissione Nazionale per le Società e la Borsa (CONSOB) today announced the signing of a…
Banking
FDIC Releases New Application Programming Interface and Modernized Version of BankFind — 2020-12-21
The Federal Deposit Insurance Corporation (FDIC) today announced the release of two bank data tools—the Application Programming Interface (API) for financial data…
Stocks
SEC Names John Moses as Deputy Director of Office of Investor Education and Advocacy
The Securities and Exchange Commission today named John Moses as Deputy Director of the SEC’s Office of Investor Education and Advocacy (OIEA).…
Stocks
SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community
The Securities and Exchange Commission today announced that it filed an emergency action against California-based real estate development company SiliconSage Builders LLC…
Stocks
S.P. Kothari to Conclude Tenure As SEC Chief Economist and Division of Economic and Risk Analysis Director
The Securities and Exchange Commission today announced that S.P. Kothari, Chief Economist and Director of the SEC’s Division of Economic and Risk…
Investing
State Employment and Unemployment (Monthly) News Release — 2020-12-18
Unemployment rates were lower in November in 25 states and the District of Columbia, higher in 7 states, and stable in 18…
Banking
Joint Release/Agencies Propose Requirement for Computer Security Incident Notification — 2020-12-18
Board of Governors of the Federal Reserve System Joint Release Federal Deposit Insurance Corporation Office of the Comptroller of the Currency Agencies…
Stocks
SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device
The Securities and Exchange Commission today announced charges against California-based biotechnology company Decision Diagnostics Corp. and its CEO, Keith Berman, with making…
Stocks
SEC Releases 2020 Office of Credit Rating Reports
The Securities and Exchange Commission today issued the Annual Report on Nationally Recognized Statistical Rating Organizations (NRSROs) and the 2020 Summary Report…
Stocks
SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million
The Securities and Exchange Commission today announced whistleblower awards in connection with three separate enforcement actions totaling over $3.6 million. In the…
Stocks
Small Business Advocate Releases Annual Report for Fiscal Year 2020
The SEC’s Office of the Advocate for Small Business Capital Formation issued its Annual Report for Fiscal Year 2020 today. The report…
Stocks
SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets
The Securities and Exchange Commission today announced the creation of the Security-Based Swaps Joint Venture, a collaborative venture among several SEC divisions…
Investing
Employer Costs for Employee Compensation News Release — 2020-12-17
Employer costs for employee compensation for civilian workers averaged $38.26 per hour worked in September 2020, the U.S. Bureau of Labor Statistics…
Banking
Joint Release/Agencies Release Annual CRA Asset-Size Threshold Adjustments for Small and Intermediate Small Institutions — 2020-12-17
Agencies Release Annual CRA Asset-Size Threshold Adjustments for Small and Intermediate Small Institutions WASHINGTON—The Board of Governors of the Federal Reserve System…
Stocks
SEC Approves 2021 PCAOB Budget and Accounting Support Fee
The Securities and Exchange Commission voted today to approve the 2021 budget of the Public Company Accounting Oversight Board (PCAOB) and the…
Stocks
SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution
The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments…
Investing
2019 Census of Fatal Occupational Injuries — 2020-12-16
There were 5,333 fatal work injuries recorded in the United States in 2019, a 2 percent increase from the 5,250 in 2018…
Banking
FDIC Releases New 2020 Community Banking Study — 2020-12-16
WASHINGTON – The Federal Deposit Insurance Corporation (FDIC) today released a new large-scale study on the state of the nation’s community banks.…
Stocks
SEC Adopts Clearing Agency Rule to Limit Potential for Overlapping or Duplicative Regulation
The Securities and Exchange Commission today announced that it has adopted a rule to limit the potential for overlapping or duplicative regulation…
Stocks
Luckin Coffee Agrees to Pay $180 Million Penalty to Settle Accounting Fraud Charges
The Securities and Exchange Commission today charged China-based company Luckin Coffee Inc. with defrauding investors by materially misstating the company’s revenue, expenses…