Former SEC enforcement chief says unit has been "unprecedented in its success."
After a five-year quiet period on proposed amendments involving notification rules for broker-dealers, the SEC is again seeking feedback.
House Financial Services Committee Chairman Spencer Bachus (R-Ala.) predicted that he would be cleared of charges that he violated insider trading laws.
The House Financial Services Committee plans to vote this week on several bills it says will spur job creation and ease the regulatory burden.
Republican chair of House Financial Services Committee being probed for possible insider stock trading.
The Securities and Exchange Commission said this year will mark the highest number of enforcement actions filed in the agency’s history.
This year will go down in history as the Securities and Exchange Commission’s highest ever in enforcement actions filed.
House passes measure that raises number of shareholders needed before bank must register with SEC.
Agency sets Oct. 6 deadline for comments.
With much more at stake, it is no surprise that credit union service organizations are sounding the alarm louder than credit unions regarding an NCUA proposal that would alter how CUSO relationships are regulated.