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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 |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 |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 |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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News |Regulatory |States |SEC | Apr 03 2017

Senators Introduce Bipartisan SEC Penalties Act to Crack Down on Wall Street Fraud

A group of bipartisan senators introduced a bill intended to protect investors and strengthen oversight and accountability of Wall Street by increasing civil monetary penalties…

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News |Regulatory |States | Mar 30 2017

DOL Urges Fifth Circuit to Deny Chamber of Commerce’s Request to Halt Fiduciary Rule

The Department of Labor is urging the Fifth Circuit Court of Appeals to deny a recent request by the U.S. Chamber of Commerce and other groups to stop the fiduciary rule from…

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News |Regulatory |States | Mar 30 2017

DOL Submits Final Fiduciary Rule Delay to OMB

The Department of Labor sent the Office of Management and Budget its final rule requesting a 60-day delay of its fiduciary rule’s applicability date of April 10th. Once the rule is…

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News |Regulatory |States | Mar 22 2017

Texas Judge Denies Emergency Injunction in Chamber of Commerce Fiduciary Rule Case

A Texas judge has denied an emergency injunction request by the U.S. Chamber of Commerce, Financial Services Institute, and other plaintiffs who sued the Department of Labor to…

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News |Regulatory |States | Mar 20 2017

J.D. Power Survey: Many Investors Prefer Commissions

In its latest special report, J.D. Power & Associates surveyed more than 1,000 full-service investors on their perceptions of the Department of Labor’s fiduciary rule and found…

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News |Regulatory |States | Mar 17 2017

Comment Period to Delay the DOL Fiduciary Rule Ends Today

As the comment submission deadline rapidly approaches, the Department of Labor continues to receive feedback from financial services professionals and individual investors on the…

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News |Regulatory |States | Mar 14 2017

Chamber of Commerce, FSI, and Others Seek Injunction on DOL Fiduciary Rule

The U.S. Chamber of Commerce, Financial Services Institute, and other plaintiffs that sued to stop the Department of Labor’s fiduciary rule filed an emergency injunction in a Texas…

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News |Regulatory |States | Mar 13 2017

DOL Issues Temporary Fiduciary Rule Enforcement Policy

The Department of Labor has issued a temporary enforcement memorandum relating to the proposed 60-day fiduciary rule delay that was published in the Federal Register earlier this…

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News |Regulatory |States | Mar 03 2017

Acting SEC Chairman Rips DOL Fiduciary Rule

Acting SEC chairman Michael Piwowar had strong words about the Department of Labor’s fiduciary rule at the Investment Adviser Association Compliance Conference on Thursday…

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News |Regulatory |States | Mar 02 2017

DOL Proposes 60-Day Fiduciary Rule Delay

The Department of Labor today published a proposed rule in the Federal Register to extend the applicability date of the agency’s fiduciary rule for 60 days. The rule is scheduled…

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News |Regulatory |States | Mar 01 2017

Fiduciary Delay Clears Initial OMB Hurdle, Encounters Additional Challenges

On Tuesday, the Office of Management and Budget completed its review of the Department of Labor’s proposed rule delaying implementation of the agency’s fiduciary rule, and concluded…

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News |Regulatory |States | Feb 27 2017

Chamber of Commerce, FSI, and Others Appeal Texas DOL Fiduciary Case

The U.S. Chamber of Commerce, Financial Services Institute, and seven other plaintiffs that sued to stop the Department of Labor’s fiduciary rule are appealing a Texas judge’s…

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News |Regulatory |States | Feb 23 2017

Minnesota Judge Denies Request for Stay in DOL Lawsuit

A U.S. district judge has denied a request by the Justice Department to stay a lawsuit brought against the Department of Labor by Thrivent Financial for Lutherans. Judge Susan…

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News |Regulatory |States | Feb 21 2017

DOL’s Fiduciary Rule Survives Fourth Court Challenge

A Kansas judge ruled in favor of the Department of Labor’s fiduciary rule on Friday in the latest win for the regulation that is scheduled to begin implementation on April 10,...

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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 |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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