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News |Regulatory |SEC | Sep 18 2017

SEC Warns Advisers About Misleading Advertising

SEC Warns Advisers About Misleading AdvertisingThe Securities and Exchange Commission’s Office of Compliance Inspections and Examinations published a risk alert on advertising…

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ADISA Submits Comment Letter in Support of the DOL’s Proposed Fiduciary Rule Delay

ADISA Submits Comment Letter in Support of the DOL’s Proposed Fiduciary Rule DelayThe Alternative & Direct Investment Securities Association, a trade association representing the…

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News |Regulatory |SEC | Sep 07 2017

SEC Charges Advisor with Stealing Investor Funds for Gambling and Personal Expenses

The Securities and Exchange Commission charged a New Jersey-based tax preparer and investment adviser with stealing more than $1 million from clients to support his gambling habit…

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News |Regulatory |SEC | Sep 06 2017

Sen. Warren Blasts Proposed DOL Fiduciary Rule Delay

Senator Elizabeth Warren (D-Mass) sent a letter to Labor Secretary Alexander Acosta urging him not to delay the remaining provisions of the Department of Labor’s fiduciary rule for…

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News |Regulatory |SEC | Sep 05 2017

SEC Charges Broker with Defrauding Elderly Customers of $1 Million

The Securities and Exchange Commission has charged Connecticut-based broker and investment adviser Leon Vaccarelli and his company with fraudulently persuading several elderly…

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News |Regulatory |SEC | Sep 01 2017

Investigators Unveil Evidence of Witchcraft and Lavish Lifestyle of Advisor Accused of Ponzi Scheme

Documents relating to the federal investigation of Dawn Bennett were unsealed earlier this week in a Maryland federal court, offering a glimpse into the lavish lifestyle of the…

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News |Regulatory |States | Aug 31 2017

DOL Opens 15-Day Comment Period on Fiduciary Rule Delay

The Department of Labor has opened a 15-day comment period on its proposal to delay the remaining provisions of its fiduciary rule for 18 months, according to a proposed rule…

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News |Regulatory |States | Aug 30 2017

Fiduciary Rule Implementation Delay Approved by OMB

The Office of Management and Budget has approved a proposal by the Department of Labor to delay implementation of the remaining provisions of the agency’s fiduciary rule for 18…

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News |Regulatory |States | Aug 28 2017

DOL Working to Kill Fiduciary Rule Class Action Provision

The Department of Labor further indicated in a recent court filing in the Thrivent Financial case that it may be working to nix a portion of its fiduciary rule that makes it easier…

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News |Regulatory |SEC | Aug 23 2017

SEC Charges Investment Adviser with Defrauding Professional Athlete and His Wife

The Securities and Exchange Commission has charged investment adviser Jeremy Drake with defrauding two clients, a high profile professional athlete and the athlete’s wife, by…

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News |Regulatory |SEC | Aug 17 2017

SEC Bans Former ARCP Executive

The Securities and Exchange Commission has permanently barred former American Realty Capital Properties chief accounting officer Lisa McAlister from practicing as an accountant on…

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News |Regulatory |SEC | Aug 16 2017

SEC Levies $6.2 Million Fine Against KPMG Over Audit Failures

The Securities and Exchange Commission has charged auditing firm KPMG with failing to properly audit the financial statements of an oil and gas company, resulting in investors…

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News |Regulatory |FINRA | Aug 11 2017

FINRA Bars Broker For Using Corporate Credit Card Following Resignation

The Financial Industry Regulatory Authority has barred a former M.R. Beal & Company advisor for using the company’s corporate credit card for personal expenses after resigning to…

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News |Regulatory |States | Aug 10 2017

DOL Seeks 18-Month Delay to Remaining Fiduciary Rule Provisions

The Department of Labor is seeking to delay implementation of the remaining provisions of the fiduciary rule for 18 months until July 1, 2019, according to a notice filed in the…

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News |Regulatory |States | Aug 09 2017

Study: Advisors Drop 150,000 Clients Due to DOL Fiduciary Rule

The Insured Retirement Institute, an industry trade group, responded to the Department of Labor’s request for information claiming that the partial implementation of the fiduciary…

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News |Regulatory |SEC | Aug 07 2017

SEC Charges Oil and Gas Company CEO for Theft

The Securities and Exchange Commission is ordering a Texas-based oil and gas company and its CEO to pay $750,000 for misleading investors about amounts spent on commission payments…

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News |Regulatory |FINRA | Aug 03 2017

FINRA and SIPC Streamline Broker-Dealer Reporting Process

The Financial Industry Regulatory Authority and the Securities Investor Protection Corporation have agreed to simplify the process of filing annual financial reports by member…

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News |Regulatory |SEC | Aug 01 2017

SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees

The Securities and Exchange Commission has charged four former Atlanta-area brokers with fraudulently inducing federal employees to roll over holdings from their federal Thrift…

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News |Regulatory |SEC | Jul 31 2017

SEC Commissioner and Massachusetts Regulator at Odds Over DOL Fiduciary Rule Support

SEC Commissioner Michael Piwowar filed a public comment letter with the Department of Labor outlining his opposition to the fiduciary rule, a view which drew heavy criticism from…

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News |Regulatory |States | Jul 27 2017

ADISA and the Financial Services Roundtable to Study Early Effects of the DOL Fiduciary Rule

The Alternative & Direct Investment Securities Association, a trade association representing the non-traded alternative investment industry, is teaming up with the Financial…

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