SEC and FDIC regulations News
June 22, 2010
Financial advisors are using social networking for business but report a lack of policies, archiving, study shows.
June 07, 2010
Brokerages and other financial firms may find Facebook and Twitter useful marketing tools but they must address FINRA and other compliance requirements.
April 28, 2010
Indian national receives 81 months and $2.4 million fine for fraud scheme
November 17, 2009
Model form aims to make it easier for consumers to understand banks' privacy policies and help financial institutions meet GLBA requirements
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Insider trading is the buying and selling of securities based on information that has not been made available to the general public. Because insider information gives an investor an advantage over others, it is illegal and punishable by law. Continue Reading
The Federal Deposit Insurance Corporation (FDIC) is an independent agency of the United States (U.S.) federal government that preserves public confidence in the banking system by insuring deposits... (Continued) Continue Reading
The Securities and Exchange Commission (SEC) is a U.S. government agency that oversees securities transactions, activities of financial professionals and mutual fund trading to prevent fraud and intentional deception... (Continued) Continue Reading
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Heartland CEO Robert Carr said the company still can't reasonably estimate the potential impact of the data breach on its day-to-day operations. Continue Reading
Kickback schemes are a new threat for financial companies and the SEC has noticed. To ensure your company doesn't fall prey, know what they are and how to detect them. Continue Reading