SEC and FDIC regulations

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  • SEC cracks down on kickback schemes

    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. 

  • insider trading

    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. 

  • emerging growth company

    An emerging growth company is a business with total annual gross revenues under $1 billion for the most recently ended fiscal year, as indicated on the business income statement presentation according to U.S. GAAP (generally accepted accounting princ... 

  • Federal Deposit Insurance Corporation (FDIC)

    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) 

About SEC and FDIC regulations

Keeping up with the SEC and FDIC will help keep your financial institution compliant. Learn how understanding how the power and guidelines of the U.S. Securities and Exchange Commission and Federal Deposit Insurance Corporation can affect information security, as well as financial reporting requirements, SEC regulations and FDIC insurance regulations.