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222 headlines collected and scored. Last update 6h ago.
SEC Seeks Final Judgment Against Former Western Asset Co-CIO Ken Leech in Cherry Picking Case
The Securities and Exchange Commission today moved for entry of a final judgment by consent against Stephen Kenneth Leech II, the former co-chief investment officer of registered investment adviser Western Asset Management Company LLC, whom the SEC…
SEC to Host Virtual National Compliance Outreach Seminar for Investment Companies and Investment Advisers
The Securities and Exchange Commission’s Compliance Outreach Program announced today that it will host a virtual national seminar for investment companies and investment advisers on November 19, 2026. The purpose of the event is to help chief compliance…
Federal Reserve Board announces approval of application by Isabella Bank Corporation
Bullish
The A.I. investment boom is contributing to inflation. It also appears nearly immune to high interest rates. That’s a challenging combination for the Fed — with potentially serious implications for…
The A.I. investment boom is contributing to inflation. It also appears nearly immune to high interest rates. That’s a challenging combination for the Fed — with potentially serious implications for the rest of the economy. With @colbylsmith.bsky.social: www.nytimes.com/2026/10/05/b... #EconSky
Bullish
SEC Coordinates with Global Financial Regulators to Raise Fraud Awareness During World Investor Week
The Securities and Exchange Commission, in coordination with other U.S. and global financial regulators, today issued a joint investor bulletin as part of World Investor Week (WIW). The bulletin encourages investors to be resilient in changing…
Bearish
Federal Reserve Board announces approval of application by Fleur Capital Corporation
Bullish
Federal Reserve Board announces it will extend, until November 4, the comment period on its proposal to modernize Regulation O
Federal Reserve Board issues enforcement action with Ontario Bancorporation, Inc.
SEC’s Division of Examinations Announces New Exam Handbook
The Securities and Exchange Commission’s Division of Examinations today published its new handbook, “The SEC Exam Handbook: A Practical Guide on Process and Engagement,” which replaces and expands upon the previous examination brochure by providing…
Bullish
SEC Charges Two Individuals With Orchestrating Fraud Scheme That Targeted Veterans
The Securities and Exchange Commission today announced charges against Christopher Kenji Dinelli and Jacob David “Kobe” Frankel for allegedly orchestrating a fraud scheme that raised more than $8.7 million from 35 investors through their fund, Beyond…
Bearish
SEC Proposes Amendments to Expand Responsible Retailization of Private Markets
The Securities and Exchange Commission today voted to propose rule amendments that would facilitate capital formation in the public and private markets by expanding retail investor choice and promoting innovation in regulated fund structures while…
Federal Reserve Board finalizes changes to enhance the transparency and public accountability of its stress test and reduce volatility in its stress test-related capital requirements
Agencies publish resolution plan feedback letters for 15 banking organizations
SEC Charges Multiple Entities in Fraud Schemes Totaling at Least $15 Million That Used WhatsApp and Other Platforms to Lure Investors
The Securities and Exchange Commission today charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where…
Bearish
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective…
Federal Reserve Board announces approval of application by Peoples Bancorp Inc.
Bullish
Federal Reserve Board issues enforcement action with former employee of Sandy Spring Bank
SEC Publishes Updated Market Statistics, Highlighting Increase in IPOs and Proceeds Raised
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public…
SEC Charges South Florida Resident and His Company for Alleged Investment Scheme Defrauding Law Enforcement
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or…
Federal Reserve Board announces approval of application by BancFirst Corporation
Bullish
SEC Censures OTC Link LLC for Repeated Compliance Failures Related to Regulation SCI
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled…
Federal Reserve Board announces termination of enforcement action with SNB Bancshares and Bank of Eufaula
Federal Reserve Board issues enforcement actions with former employee of Northstar Bank, former employee of American Express Travel Related Services Company, Inc., and former employee of Regions Bank
SEC Issues “Innovation Exemption” to Facilitate the Trading of Tokenized NMS Stock and Request for Comment
The SEC is taking a significant step forward, within its statutory authority, to bring America’s capital markets into the digital age by facilitating onchain trading of certain tokenized stocks.
The Federal Reserve voted to raise interest rates by a quarter point as policymakers try to tamp down inflation after more than five years of above-target price increases. Full coverage: #EconSky
The Federal Reserve voted to raise interest rates by a quarter point as policymakers try to tamp down inflation after more than five years of above-target price increases. Full coverage: www.nytimes.com/live/2026/09... #EconSky
Federal Reserve issues FOMC statement
SEC Proposes Rescission of Shareholder Proposal Rule and Reforms to Proxy Solicitation Process
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission's statutory authority and intrudes into matters of state law.The Commission outlined…
Bullish
New Census data: Median household income, adjusted for inflation, rose 2.6 percent in 2025, to $87,460. The poverty rate (as measured by the supplemental poverty measure) held steady at 13.1…
New Census data: Median household income, adjusted for inflation, rose 2.6 percent in 2025, to $87,460. The poverty rate (as measured by the supplemental poverty measure) held steady at 13.1 percent. #EconSky
Yesterday, the yield on the 10-year Treasury hit 5 percent for the first time since 2023. Today, I'm on The Daily explaining why yields are rising, and why you should care. Give it a listen! #EconSky
Yesterday, the yield on the 10-year Treasury hit 5 percent for the first time since 2023. Today, I'm on The Daily explaining why yields are rising, and why you should care. Give it a listen! www.nytimes.com/2026/09/15/p... #EconSky