Washington state businessman hit with fraud charges.
Company settles for $3.5 million; two senior executives agree to pay $135,000.
Rules require broker-dealers, mutual funds, investment advisers to adopt red flag, identity theft programs.
White was nominated in February and confirmed last week.
Agency posts list of actions against securities firms since financial crisis began.
Commission says Facebook, Twitter use OK unless access is restricted or if investors don’t know that’s where they need to turn for news.
Guidance update speaks to whether or not FINRA filing would be required.
The SEC says state of Illinois misled municipal bond investors about the state’s approach to funding its pension obligations. State says it'll settle.
When it comes to the type of advice investment advisers and broker-dealers give, the SEC wants to know if new rules are needed to ensure that the information they’re sharing fits with their clients’ needs.
While the NCUA’s Office of Minority and Women Inclusion was created to ensure diversity in management, employment and business activities, the two-year old division has much more room to have an impact.