Tag Archives: SEC

Monday, April 21, 2014

SEC latest regulator to issue guidance on Heartbleed vulnerabilities

Cyber Data Security

The SEC joined the growing list of federal regulatory agencies and organizations warning banks and credit unions about the risks of cyberattacks. Last week, the SEC released an outline detailing how agency examiners will assess preparedness for cyberattacks and the … Read More…

Monday, December 30, 2013

SEC report finds lack of review procedures at credit rating agency


The SEC released a report last week that showed improvements in compliance at credit rating agencies, though an examination of the agencies showed a lack of review procedures and oversight of the development of new rating methodologies. In its annual … Read More…

Monday, December 23, 2013

SEC proposes securities rules to expand small business access to capital


The SEC proposed rules last week that would make it easier for small companies to access capital, a provision mandated by Title IV of the Jumpstart Our Business Startup Act. The proposal builds on Regulation A, which exempts small securities … Read More…

Tuesday, December 10, 2013

Fifth Third, former CFO settle with SEC over improper accounting


Fifth Third Bank agreed last week to pay $6.5 million to the SEC to settle charges that the company and its former CFO Daniel Poston failed to maintain proper accounting practices for commercial real estate loans during the financial crisis. … Read More…

Monday, October 28, 2013

Regulators propose diversity policy assessment standards

Diverse Team

Regulators proposed joint standards on Wednesday for assessing the diversity practices and policies of regulated entities as part of an effort to promote transparency and awareness. The standards, which were proposed by the CFPB, FDIC, Federal Reserve, National Credit Union … Read More…

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