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.
Joe and Jane Consumer may be overwhelmed with what the recently enacted legislation aimed at overhauling financial services means in their day-to-day lives. But advocates say the changes are really in their best interest.
The SEC is asking for feedback on the areas of the Dodd-Frank Wall Street Reform and Consumer Protection Act that will impact investors.
The SEC said Goldman Sachs & Co. will pay a $550 million fine, the largest penalty ever paid by a Wall Street firm, to the agency, and reform its business practices to settle charges that it misled investors in a subprime mortgage product.