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Regulatory

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News |Regulatory |SEC | Mar 23 2017

SEC Adopts Shorter Settlement Cycle for Securities Transactions

The Securities and Exchange Commission adopted an amendment to shorten the standard settlement cycle for most broker-dealer securities transactions by one business day.  ...

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News |Regulatory |States | Mar 22 2017

Texas Judge Denies Emergency Injunction in Chamber of Commerce Fiduciary Rule Case

A Texas judge has denied an emergency injunction request by the U.S. Chamber of Commerce, Financial Services Institute, and other plaintiffs who sued the Department of Labor to…

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News |Regulatory |States | Mar 20 2017

J.D. Power Survey: Many Investors Prefer Commissions

In its latest special report, J.D. Power & Associates surveyed more than 1,000 full-service investors on their perceptions of the Department of Labor’s fiduciary rule and found…

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News |Regulatory |States | Mar 17 2017

Comment Period to Delay the DOL Fiduciary Rule Ends Today

As the comment submission deadline rapidly approaches, the Department of Labor continues to receive feedback from financial services professionals and individual investors on the…

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News |Regulatory |States | Mar 14 2017

Chamber of Commerce, FSI, and Others Seek Injunction on DOL Fiduciary Rule

The U.S. Chamber of Commerce, Financial Services Institute, and other plaintiffs that sued to stop the Department of Labor’s fiduciary rule filed an emergency injunction in a Texas…

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News |Regulatory |States | Mar 13 2017

DOL Issues Temporary Fiduciary Rule Enforcement Policy

The Department of Labor has issued a temporary enforcement memorandum relating to the proposed 60-day fiduciary rule delay that was published in the Federal Register earlier this…

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News |Regulatory |SEC | Mar 09 2017

Trump’s Pick for SEC Chair to Meet with Senate Panel

Wall Street Lawyer Jay Clayton, President Donald Trump’s pick to head the Securities and Exchange Commission, is scheduled to testify before the Senate Banking Committee on March…

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Industry Groups Rally Members to Support Fiduciary Rule Delay

The Alternative Direct Investment Securities Association and the Investment Program Association, two industry trade groups representing the alternative and direct investment…

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News |Regulatory |States | Mar 03 2017

Acting SEC Chairman Rips DOL Fiduciary Rule

Acting SEC chairman Michael Piwowar had strong words about the Department of Labor’s fiduciary rule at the Investment Adviser Association Compliance Conference on Thursday…

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News |Regulatory |States | Mar 02 2017

DOL Proposes 60-Day Fiduciary Rule Delay

The Department of Labor today published a proposed rule in the Federal Register to extend the applicability date of the agency’s fiduciary rule for 60 days. The rule is scheduled…

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News |Regulatory |States | Mar 01 2017

Fiduciary Delay Clears Initial OMB Hurdle, Encounters Additional Challenges

On Tuesday, the Office of Management and Budget completed its review of the Department of Labor’s proposed rule delaying implementation of the agency’s fiduciary rule, and concluded…

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News |Regulatory |SEC | Feb 28 2017

Acting SEC Chair Advocating for Looser Accredited Investor Definition

At the annual SEC Speaks conference held in Washington D.C. on Friday, Michael Piwowar, the acting chairman of the Securities and Exchange Commission, argued that the current…

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News |Regulatory |States | Feb 27 2017

Chamber of Commerce, FSI, and Others Appeal Texas DOL Fiduciary Case

The U.S. Chamber of Commerce, Financial Services Institute, and seven other plaintiffs that sued to stop the Department of Labor’s fiduciary rule are appealing a Texas judge’s…

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FINRA Fines Purshe Kaplan for Overcharging Native American Tribe

The Financial Industry Regulatory Authority has ordered broker-dealer Purshe Kaplan Sterling Investments to pay nearly $3.4 million in restitution to the Saginaw Chippewa Indian…

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News |Regulatory |States | Feb 23 2017

Minnesota Judge Denies Request for Stay in DOL Lawsuit

A U.S. district judge has denied a request by the Justice Department to stay a lawsuit brought against the Department of Labor by Thrivent Financial for Lutherans. Judge Susan…

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News |Regulatory |States | Feb 21 2017

DOL’s Fiduciary Rule Survives Fourth Court Challenge

A Kansas judge ruled in favor of the Department of Labor’s fiduciary rule on Friday in the latest win for the regulation that is scheduled to begin implementation on April 10,...

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FINRA Suspends Former LPL Broker for Unsuitable BDC Sales

The Financial Industry Regulatory Authority suspended a former LPL Financial broker for one year for allegedly engaging in unsuitable non-traded BDC sales and overstating the net…

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News |Regulatory |States | Feb 09 2017

Fiduciary Rule Survives Another Court Ruling

A federal judge in Texas upheld the Department of Labor’s fiduciary rule on Wednesday in the case brought by U.S. Chamber of Commerce, Financial Services Institute, the Securities…

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News |Regulatory |SEC | Feb 09 2017

SEC Charges California Man in Fraudulent Real Estate Investment Scheme

The Securities and Exchange Commission charged a Southern California man with defrauding investors and misappropriating more than $1.3 million from Caliber Partnership I LLC, a…

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News |Regulatory |SEC | Feb 08 2017

Private Equity Adviser Barred from Industry for Improper Withdrawal of Funds

The Securities and Exchange Commission has permanently barred a private equity adviser from the securities industry and ordered him to pay a $1.25 million penalty to settle charges…

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