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Results 1 to 5 of 146



FDIC Provides Corporate Governance Guidance to Community Banks

USA - April 24 2016 The FDIC issued a special edition of Supervisory Insights, "A Community Bank Director's Guide to Corporate Governance: 21st Century Reflections on…


T+2 Settlement Gathers Momentum

USA - March 9 2016 FINRA is seeking comment on proposed amendments to FINRA rules shortening the securities settlement cycle to two days. The rulemaking notice cites a…


SEC publishes 2015 whistleblower report

USA - November 22 2015 The SEC published its 2015 Annual Report on the Dodd-Frank Whistleblower Program. The report indicates the SEC received 3,923 tips in fiscal year…


CFTC makes second whistleblower award

USA - October 4 2015 The U.S. Commodity Futures Trading Commission, or CFTC, announced that it will make an award of approximately $290,000 to a whistleblower for…


SEC charges investment adviser with cybersecurity violations

USA - September 23 2015 The SEC recently commenced a settled enforcement action against an investment adviser, R.T. Jones Capital Equities Management, Inc., for…

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