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News |Regulatory |States | Apr 21 2017

House Committee Sets Hearing Date for Dodd-Frank Replacement

House Financial Services Committee Chairman Jeb Hensarling (R-TX) announced that the committee will hold a hearing to discuss an updated version of the Financial CHOICE Act on…

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News |Company |Sponsors |Regulatory |SEC | Apr 18 2017

Supreme Court to Hear Financial Advisor’s Case Challenging Disgorgement Penalties Today

The U.S. Supreme Court will hear argument today in the case of financial advisor Charles Kokesh, which questions whether a 5-year statute of limitations applies to punitive…

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SIFMA Comment Letters Critical of DOL Fiduciary Rule, Calls for Further Extension

Securities Industry and Financial Markets Association, a trade group representing the securities industry, submitted a comment letter to the Department of Labor regarding its…

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News |Regulatory |States | Apr 17 2017

Comment Period on DOL Fiduciary Rule Examination Ends Today

In early February, President Trump issued a memorandum which directed the DOL to examine the fiduciary rule to determine whether it may adversely affect the ability of Americans to…

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News |Regulatory |SEC | Apr 11 2017

SEC: Online Stock Analysts are Often on the Take

The Securities and Exchange Commission issued enforcement actions against 27 individuals and entities behind various alleged stock promotion schemes where public companies hired…

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News |Regulatory |SEC | Apr 07 2017

FINRA Punishes Former Harvest Capital Broker for Unsuitable Non-Traded REIT Sales

The Financial Industry Regulatory Authority suspended a former Harvest Capital rep for one month for allegedly engaging in unsuitable non-traded REIT sales with three clients,...

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News |Regulatory |States | Apr 05 2017

DOL Delays Fiduciary Rule for 60 Days

On Tuesday, the Department of Labor released the final rule extending the applicability date of its fiduciary rule for 60 days following a review by The Office and Management and…

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News |Regulatory |SEC | Apr 05 2017

Senate Panel Approves Trump Nominee as SEC Chairman

The U.S. Senate Banking Committee approved Jay Clayton’s nomination as the next chairman of the U.S. Securities and Exchange Commission in a 15 to 8 vote, mostly along party lines….

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News |Regulatory |States |SEC | Apr 03 2017

Senators Introduce Bipartisan SEC Penalties Act to Crack Down on Wall Street Fraud

A group of bipartisan senators introduced a bill intended to protect investors and strengthen oversight and accountability of Wall Street by increasing civil monetary penalties…

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News |Regulatory |SEC | Mar 31 2017

SEC: Michigan Pastor Fleecing His Flock

The Securities and Exchange Commission today announced fraud charges and an emergency asset freeze obtained against a Michigan-based pastor accused of exploiting church members,...

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News |Regulatory |States | Mar 30 2017

DOL Urges Fifth Circuit to Deny Chamber of Commerce’s Request to Halt Fiduciary Rule

The Department of Labor is urging the Fifth Circuit Court of Appeals to deny a recent request by the U.S. Chamber of Commerce and other groups to stop the fiduciary rule from…

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News |Regulatory |States | Mar 30 2017

DOL Submits Final Fiduciary Rule Delay to OMB

The Department of Labor sent the Office of Management and Budget its final rule requesting a 60-day delay of its fiduciary rule’s applicability date of April 10th. Once the rule is…

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News |Regulatory |SEC | Mar 24 2017

Senate Committee Grills Trump SEC Nominee

Sullivan & Cromwell attorney Jay Clayton, President Donald Trump’s pick to lead the Securities and Exchange Commission, sat before the Senate Banking Committee yesterday for his…

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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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