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News |Regulatory |SEC | May 24 2017

SEC Launches Investigation of Rich Uncles REIT

Rich Uncles NNN REIT, a publicly-registered crowdfunded real estate investment trust, disclosed that the Securities and Exchange Commission is investigating its advertising and…

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News |Regulatory |States | May 23 2017

Labor Secretary to Allow DOL Fiduciary Rule Implementation During Ongoing Review

The Department of Labor announced on Monday night that the fiduciary rule will become applicable on June 9th while the agency seeks additional public comment on the controversial…

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News |Regulatory |FINRA | May 23 2017

FINRA Reviews Rules on Outside Business Activities and Private Securities Transactions

The Financial Industry Regulatory Authority is requesting comment on its rules governing outside business activities and private securities transactions as part of a new…

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News |Regulatory |States | May 15 2017

Legal Group Argues Fiduciary Rule Violates Free Speech

Washington Legal Foundation, a public-interest law firm and Washington D.C. think tank, filed an amicus brief urging the Fifth Circuit Court of Appeals to reverse the lower court’s…

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News |Regulatory |States | May 11 2017

Labor Secretary Seeks to “Freeze” Fiduciary Rule

Newly appointed Labor Secretary Alexander Acosta is reportedly making the Department of Labor’s fiduciary rule his number one priority and “actively seeking a way to freeze the…

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News |Regulatory |States | May 05 2017

Bill to Replace Dodd-Frank and Kill DOL Fiduciary Rule Passes Key House Committee Vote

The House Financial Service Committee approved legislation on Thursday that seeks to repeal certain Dodd-Frank banking and securities regulations. The Financial CHOICE Act 2.0,...

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SEC, FINRA Announce National Compliance Outreach Program for Broker-Dealers

The Securities and Exchange Commission and the Financial Industry Regulatory Authority are holding their National Compliance Outreach Program for Broker-Dealers on July 27 and will…

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News |Regulatory |SEC | May 03 2017

Senate Confirms Jay Clayton as SEC Chairman

The U.S. Senate confirmed Jay Clayton, President Donald Trump’s pick to lead the Securities and Exchange Commission, in a 60 to 36 vote on Tuesday. Clayton could be sworn in as SEC…

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News |Regulatory |States | May 03 2017

GOP Lawmakers Urge Labor Secretary to Delay Fiduciary Rule

Republicans in the House and Senate are urging the newly-confirmed Secretary of Labor Alexander Acosta to further delay the implementation of the Department of Labor’s fiduciary…

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News |Regulatory |States | May 01 2017

Industry Trade Groups Urge New Labor Secretary to Further Delay Fiduciary Rule

Industry trade groups are urging the newly appointed Labor Secretary Alexander Acosta to further delay the Department’s fiduciary rule which seeks to eliminate conflicts of…

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News |Regulatory |States | Apr 27 2017

Bill to Replace Dodd-Frank Formally Introduced in House

Financial Services Committee Chairman Jeb Hensarling (R-TX) formally introduced the Financial CHOICE Act, H.R. 10, following a Wednesday hearing on legislation that seeks to repeal…

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News |Regulatory |States | Apr 26 2017

Galvin Blasts Dodd-Frank Replacement as “Gift” to Wall Street

William Galvin, the chief securities regulator for Massachusetts, sent a letter to House Financial Services Committee chairman Jeb Hensarling detailing his opposition to the…

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News |Regulatory |SEC | Apr 26 2017

SEC Changes Review Process for Non-Traded REIT Sales Materials

The Securities and Exchange Commission has implemented changes to their review process of sales literature for non-traded REITs and other real estate programs, according to the…

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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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