In 2017, more enforcement actions were taken against unregistered individuals or firms than registered members of the securities industry according to a new report from the North American Securities A...
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Legislation designed to help small businesses safeguard their intellectual property with expanded education on obtaining and protecting patents was recently signed into law by President Donald Trump. ...
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The Securities and Exchange Commission (SEC) launched last week a new strategic plan that focuses on investors, innovation, and performance. The four-year strategic plan reflects the agency’s co...
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National Association of Insurance Commissioners (NAIC) officials are espousing the benefits of industry personnel exploring developments in autonomous vehicles and cybersecurity, categorized as two di...
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The Independent Community Bankers of America (ICBA) launched an advocacy campaign on Capitol Hill to lobby for Congress members who have supported community banks. Specifically, the advocacy campa...
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National Venture Capital Association (NVCA) officials maintain third quarter investment in venture capital-backed companies topped $27.8 billion, adding 2018 could be a record year for most venture ca...
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The Commodity Futures Trading Commission (CFTC) approved a plan to simplify regulations for commodity pool operators (CPOs) and commodity trading advisors (CTAs). The new rules would effectively b...
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Senate Committee on Banking, Housing, and Urban Affairs members Sens. Bob Menendez (D-NJ) and John Kennedy (R-LA) recently forwarded correspondence to Facebook officials amid reports the social media ...
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Six banks were recently honored with the American Bankers Association (ABA) Foundation for leadership in corporate social responsibility. The ABA Foundation’s Community Commitment Award was best...
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The Credit Union National Association (CUNA) recently hired Quantivate to provide the technology platform for its new regulatory compliance system for credit unions. In 2017, the CUNA Board commiss...
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Installment loan delinquencies rose slightly in the second quarter, according to the American Bankers Association’s (ABA) Consumer Credit Delinquency Bulletin. According to the ABA’s composite...
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The CFA Institute and the FINRA Investor Education Foundation recently released study findings designed to debunk common assumptions about millennial investors. The effort determined, among other ...
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The Federal Reserve Board is seeking public comment on possible solutions to support faster payments in the United States. Services that provide faster payment allow for on-the-spot payments using...
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Federal Deposit Insurance Corporation (FDIC) officials are espousing the benefits of a new initiative designed to foster greater transparency and accountability. FDIC Chairman Jelena McWilliams sai...
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A group of Democratic U.S. Senators sent a letter to federal regulators questioning if they are incorporating reviews of sales practices by financial institutions into their supervisory oversight poli...
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The Financial Industry Regulatory Authority (FINRA) announced this week plans to consolidate its Examination and Risk Monitoring Programs. The effort would involve integrating three separate progra...
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The U.S. House of Representatives advanced Monday legislation that would mandate that the Federal Reserve Board appoints someone to testify before Congress in the absence of the vice chair of supervis...
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Recently released telephone survey results revealed a dip in economic optimism this fall but determined the level remains above that of 2017. Officials said the PNC Economic Outlook, a semiannual ...
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The Financial Services Committee’s Subcommittee on Financial Institutions and Consumer Credit recently conducted a hearing to explore efforts to bolster financial services digital data security regu...
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The Financial Industry Regulatory Authority (FINRA) rolled out a new qualifications exam this week for people looking to enter or re-enter the securities industry. Specifically, FINRA launched the ...
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