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Regulatory

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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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News |Regulatory |States | Feb 02 2017

House Rules Committee Chair Calls on President to Delay DOL Fiduciary Rule

Since the inauguration of President Donald Trump, the financial services industry has anticipated some sort of action from the executive branch to delay, and perhaps ultimately…

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News |Regulatory |States | Feb 01 2017

DOL Fiduciary Rule Delay Expected This Week

President Donald Trump is expected to issue an order this week delaying the Department of Labor’s fiduciary rule, as first reported by ThinkAdvisor, which cited two unnamed legal…

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News |Regulatory |SEC | Jan 27 2017

SEC Charges Two Former Och-Ziff Executives with Foreign Bribery Scheme

The Securities and Exchange Commission has charged two former executives at Och-Ziff Capital Management Group with being the driving forces behind a far-reaching bribery scheme…

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FINRA Fines Massachusetts BD $300,000 for Failing to Disclose Customer Complaints

The Financial Industry Regulatory Authority fined Massachusetts broker-dealer, Citizens Securities, $300,000 for allegedly failing to report certain disclosable events, according to…

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Financial Services Institute Pledges to Lead Effort to Replace DOL Fiduciary Rule

Financial Services Institute president Dale Brown pledged to “go on offense” to block implementation of the Department of Labor fiduciary and to advocate instead for “a uniform…

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News |Company |Regulatory |States | Jan 24 2017

Trump Moving Quickly on Federal Rules and Regulation – DOL Fiduciary Delay Coming?

President Donald Trump signed an executive order on Friday freezing all government regulations coming down the pipeline to give his appointees the opportunity to review new or…

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News |Company |Regulatory |SEC | Jan 18 2017

BlackRock Charged with Removing Whistleblower Incentives in Separation Agreements

The Securities and Exchange Commission announced that New York-based asset manager BlackRock Inc. has agreed to pay a $340,000 penalty to settle charges that it improperly used…

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News |Regulatory |States | Jan 17 2017

DOL Releases Second Series of Fiduciary Rule FAQs

The Department of Labor released the second set of frequently asked questions and accompanying answers to help workers and retirement investors understand the new fiduciary…

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News |Regulatory |States |SEC | Jan 13 2017

House Passes the SEC Regulatory Accountability Act

The House of Representatives passed a bipartisan bill on Thursday in a 243-184 vote which calls for a cost-benefit analysis of all rules promulgated by the Securities and Exchange…

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FINRA Punishes Former Transamerica Broker for Unsuitable Non-Traded REIT Sales

The Financial Industry Regulatory Authority suspended and fined a former Transamerica broker for allegedly exceeding REIT concentration limits and other violations, according to a…

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News |Regulatory |States | Jan 09 2017

Congressman Introduces Bill to Delay DOL Fiduciary Rule

On Friday, Rep. Joe Wilson (R-S.C.) introduced the Protecting American Families’ Retirement Advice Act, a bill that intends to delay the implementation date of the Department of…

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News |Regulatory |SEC | Jan 05 2017

Blackstone REIT Breaks Escrow

Blackstone Real Estate Income Trust Inc., a non-traded REIT sponsored by private equity giant The Blackstone Group (NYSE: BX), has broken escrow with approximately $279 million in…

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News |Regulatory |SEC | Jan 05 2017

Trump Nominates Jay Clayton Chairman of the SEC

On Wednesday, President-elect Donald Trump announced that he will nominate Sullivan & Cromwell partner, Jay Clayton, to head the Securities and Exchange Commission. Speculation…

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News |Regulatory |FINRA | Dec 22 2016

LPL and 11 other Broker-Dealers Fined for Poor Customer Record Protection

The Financial Industry Regulatory Authority fined 12 firms a total of $14.4 million for what they claim are significant deficiencies relating to the preservation of broker-dealer…

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FINRA Fines Broker-Dealer for Exceeding REIT Concentration Limits

The Financial Industry Regulatory Authority fined Foothill Securities, an independent broker-dealer, $30,000 for allegedly exceeding concentration guidelines relating to non-traded…

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News |Regulatory |States | Dec 16 2016

DOL Fiduciary Survives Another Legal Challenge

The U.S. Court of Appeals for the D.C. Circuit has denied The National Association for Fixed Annuities’ request for an emergency preliminary injunction to prevent…

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