A 263-page report has listed a number of recommendations the SEC should consider to reform the agency’s operations as it appeals to Congress for more funding.
ALEXANDRIA, Va. -- Large credit unions would have to file an annual report on incentive-based compensation programs and couldn't have any such programs that encourage exposure to inappropriate risks
The number of registered investment advisers has increased so dramatically since 2004, the SEC said it is overwhelmed, understaffed and out of resources to keep up with exams to monitor their activities.
Large credit unions and banks may face additional restrictions on executive compensation as a result of regulations that will be issued by the NCUA and other financial regulators.
The SEC is asking Congress to give it more power to strengthen its investment adviser examination program including through assessing fees to fund exams, according to a new study from the commission.
The parent company of a significant CU investment partner has made a large investment in a social media giant.
Of the litany of regulations coming around the bend within the retail investment space, financial advisers said they are most concerned about the fiduciary standard and additional disclosure rules.
Community Resource Federal Credit Union, Latham, N.Y., held a bottle recycling drive throughout the local community to raise money for a donation to the Mohawk & Hudson River Humane.
If your paycheck shrank a little last year, you're not alone.
The SEC said today it has adopted a temporary rule requiring advisors who provide advice to state and local governments to register with the agency by Oct. 1.