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Regulatory

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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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News |Regulatory |States | May 31 2017

US Chamber: DOL Fiduciary Rule Harming American Investors

The U.S. Chamber of Commerce, the nation’s largest business trade group and outspoken opponent of the Department of Labor’s fiduciary rule, has issued a report stating that the DOL…

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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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