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News |Regulatory |States | Jul 21 2017

Bill to Repeal Fiduciary Rule Approved in House Committee

The House Committee on Education and the Workforce approved the Affordable Retirement Advice for Savers Act (H.R. 2823) in a 23 to 17 vote along party lines.  The bill,...

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News |Regulatory |FINRA | Jul 19 2017

Ex-AXA and Horace Mann Advisor Barred by FINRA Following Child Porn Charge

The Financial Industry Regulatory Authority has barred a former Horace Mann broker for failing to provide information relating to federal felony charges during its investigation of…

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News |Regulatory |States | Jul 18 2017

Bill to Kill DOL Fiduciary Rule Advances in House

On Wednesday, the House Committee on Education and the Workforce will mark up the Affordable Retirement Advice for Savers Act (H.R. 2823), a bill introduced last month by Rep. Phil…

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News |Regulatory |FINRA | Jul 17 2017

FINRA Fines Edward Jones $725,000 For Inadequate Supervision of Consolidated Reports

The Financial Industry Regulatory Authority has fined St. Louis-based broker-dealer Edward Jones $725,000 for allegedly failing to establish, maintain, and enforce an adequate…

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News |Regulatory |States | Jul 14 2017

House Committee Conducts Hearing on Bill to Kill DOL Fiduciary

The Financial Services Committee held a hearing on Thursday to discuss a legislative proposal introduced by Rep. Ann Wagner (R-MO) that would repeal the Department of Labor’s…

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News |Regulatory |SEC | Jul 13 2017

SEC Chair Hints at Fiduciary Rule Changes in First Speech

In his first speech as chairman of the Securities and Exchange Commission, Jay Clayton discussed the fiduciary rule at the Economic Club of New York on Wednesday, saying that…

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News |Regulatory |States | Jul 12 2017

Rep. Wagner Introduces Bill to Replace DOL Fiduciary Rule With Best Interest Standard

A congressional subcommittee is holding a hearing on Thursday to review the impact of the Department of Labor’s fiduciary rule on the capital markets and to discuss legislation…

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News |Regulatory |SEC | Jul 11 2017

SEC Charges Five Individuals in Oil Well Offering Fraud

The Securities and Exchange Commission has levied charges against a purported oil well company, its founders, and three salespeople in connection with a $2.4 million offering…

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News |Regulatory |States | Jul 06 2017

Labor Department Drops Defense of Class Action Lawsuits Stemming from Fiduciary Rule

The U.S. Justice Department, on behalf of the Department of Labor, is urging the Fifth Circuit Court of Appeals to uphold the fiduciary rule in light of the current litigation…

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News |Regulatory |SEC | Jul 05 2017

SEC Charges Oil and Gas Company and Top Finance Executives with Accounting Fraud

The Securities and Exchange Commission has charged Canadian-based oil and gas company, Penn West Petroleum Ltd, and three of its former top finance executives for their roles in an…

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News |Regulatory |States | Jun 30 2017

DOL Seeks Public Comments on Changes to Fiduciary Rule, Pledges to Work with SEC on Uniform Standard

The chairs of the Securities and Exchange Commission and the Department of Labor testified before separate Senate Appropriations Subcommittees this week on their respective fiscal…

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FINRA Accuses Former National Securities Rep and Assistant of Converting Customer Funds

The Financial Industry Regulatory Authority has filed a complaint against former National Securities Corporation registered representative Kyle Harrington and his assistant Linda…

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FINRA Bars Former Guggenheim Rep for Submitting False Expense Reports

The Financial Industry Regulatory Authority has barred a former Guggenheim Securities representative for allegedly submitting false expense reports that contained material…

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FINRA Fines Ameriprise Rep for Unsuitable MLP Investment

The Financial Industry Regulatory Authority fined 22-year Ameriprise veteran advisor Geraldine Gordon for recommending a client invest half of her liquid net worth into a…

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News |Regulatory |States | Jun 09 2017

House Passes Legislation to Halt DOL Fiduciary Rule

The House approved legislation on Thursday that seeks to repeal certain Dodd-Frank banking and securities regulations, as well as the Department of Labor’s fiduciary rule that…

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News |Regulatory |SEC | Jun 09 2017

SEC Names New Enforcement Co-Directors

The Securities and Exchange Commission named acting director of the division of enforcement Stephanie Avakian and former federal prosecutor Steven Peikin as co-directors of the…

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News |Regulatory |States | Jun 08 2017

Labor Secretary Indicates that Changes Are Coming to Fiduciary Rule

Labor Secretary Alexander Acosta sat before a House Appropriations subcommittee during a budget hearing on Wednesday and suggested that the previous administration may not have…

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News |Regulatory |SEC | Jun 06 2017

Supreme Court Rules on SEC Disgorgement Statute of Limitations

The U.S. Supreme Court unanimously voted to reverse a Tenth Circuit ruling and held that the 5-year statute of limitations applies to punitive disgorgement sanctions collected by…

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SEC Engages in DOL Fiduciary Rule Debate, Seeks Public Comment

The Securities and Exchange Commission is entering the fiduciary rule debate and seeking the public’s input on standards of conduct for investment advisers and broker-dealers when…

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NASAA to Hold Cybersecurity Event with Reps from FBI, SEC, and Treasury Department

The North American Securities Administrators Association will hold a day-long cybersecurity roundtable on June 23th to discuss the latest developments in cybersecurity and how…

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