A company offering allegedly fraudulent and unregistered certificates of deposits under the name Her Majesty’s Credit Union has been targeted by the SEC.
The SEC has issued a fraud alert to help protect individuals who may receive lump sum payouts following Hurricane Sandy.
A total of 1,504 advisers to hedge funds and private funds have registered with the SEC since Dodd-Frank mandated such registration.
Since 2011, victims of investment fraud schemes have lost more than $20 billion, according to the FBI.
The Financial Stability Oversight Council has started the clock on a six-month process for designating a non-bank as systemically significant.
Report highlights conflicts of interest scenarios and strengths and weaknesses identified in examinations into how broker-dealers keep material, non-public information from being misused.
The email from a usually voluble credit union executive who had been asked to comment on the secrecy that surrounds compensation of top managers at federally chartered credit unions said, “Too touchy of a subject for me. Sorry.”
Here's a look at the top 5 issues, other than member business lending legislation, pushed at NAFCU's 2012 Congressional Caucus.
Federal Reserve filing reveals for first time the battle insurers are waging to preserve state regulation, limit federal intrusion on their activities.
FINRA’s proposed 25% increase in the fees that it collects from financial service firms may become a reality within the next few months.