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News |Regulatory |States | Feb 01 2017

DOL Fiduciary Rule Delay Expected This Week

President Donald Trump is expected to issue an order this week delaying the Department of Labor’s fiduciary rule, as first reported by ThinkAdvisor, which cited two unnamed legal…

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News |Company |Regulatory |States | Jan 24 2017

Trump Moving Quickly on Federal Rules and Regulation – DOL Fiduciary Delay Coming?

President Donald Trump signed an executive order on Friday freezing all government regulations coming down the pipeline to give his appointees the opportunity to review new or…

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News |Regulatory |States | Jan 17 2017

DOL Releases Second Series of Fiduciary Rule FAQs

The Department of Labor released the second set of frequently asked questions and accompanying answers to help workers and retirement investors understand the new fiduciary…

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News |Regulatory |States |SEC | Jan 13 2017

House Passes the SEC Regulatory Accountability Act

The House of Representatives passed a bipartisan bill on Thursday in a 243-184 vote which calls for a cost-benefit analysis of all rules promulgated by the Securities and Exchange…

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News |Regulatory |States | Jan 09 2017

Congressman Introduces Bill to Delay DOL Fiduciary Rule

On Friday, Rep. Joe Wilson (R-S.C.) introduced the Protecting American Families’ Retirement Advice Act, a bill that intends to delay the implementation date of the Department of…

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News |Regulatory |States | Dec 16 2016

DOL Fiduciary Survives Another Legal Challenge

The U.S. Court of Appeals for the D.C. Circuit has denied The National Association for Fixed Annuities’ request for an emergency preliminary injunction to prevent…

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News |Regulatory |States |SEC | Dec 07 2016

Bill to Expand Definition of ‘Accredited Investor’ Sails Through House of Representatives

The House of Representatives overwhelmingly passed a bill on Monday in a 391-2 vote that could reduce regulations on small businesses, increase access to…

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DOL Fiduciary Rule Withstands Second Court Challenge

On Monday, a Kansas federal judge denied a Topeka-based insurance agency’s request for a preliminary injunction delay the April 2017 implementation of the…

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Reducing Your Litigation Risk in the Post-DOL Fiduciary World – A Veteran Litigator’s Take

Will you be happy if, in the not-too-distant future, you’re served with a summons and complaint accusing you of failing to act in a retirement investor’s best…

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News |Regulatory |States | Nov 10 2016

Trump Victory May Kill DOL Fiduciary Rule

Donald Trump’s surprising presidential victory over Democratic challenger Hillary Clinton may spell doom for the Department of Labor’s fiduciary rule that was released earlier…

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News |Regulatory |States | Nov 08 2016

NAFA to Appeal DOL Fiduciary Rule Defeat, Will Seek Expedited Review

The National Association for Fixed Annuities revealed on Monday that they plan to appeal Friday’s federal district court decision that upheld the Department…

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News |Regulatory |States | Nov 07 2016

Federal Court Upholds DOL Fiduciary Rule

In the first of several legal challenges to the Department of Labor’s fiduciary rule to be decided, the U.S. District Court for the District of Columbia on Friday denied…

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News |Regulatory |States |SEC | Sep 14 2016

House Committee Approves Bill to Kill Dodd-Frank and Fiduciary Rule

The House Financial Services Committee passed H.R. 5983, the Financial CHOICE Act, on Tuesday in a 30-26 vote mostly along party lines. No Democrats…

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News |Company |Regulatory |States | Sep 13 2016

House Committee Attempts to Stop Fiduciary Rule in Dodd-Frank Reform Bill

The House Financial Services Committee is meeting today to debate, mark up, and vote on legislation that includes provisions to repeal the Department of Labor’s…

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News |Regulatory |States | Feb 04 2016

Fiduciary Rule Alternative Passes House Committee

Yesterday, the United States House Committee on Ways and Means voted 26-12 to pass the Strengthening Access to Valuable Education and…

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News |Regulatory |States | Feb 03 2016

House Committee Passes Bills to Halt DOL Fiduciary Rule

The House Committee on Education and the Workforce approved two bipartisan bills that could replace the Labor Department’s fiduciary proposal before…

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News |Regulatory |States | Dec 21 2015

Congress Introduces New Proposals to Scuttle DOL Fiduciary Rule

Republican and Democratic lawmakers introduced legislative proposals on Friday to halt the Department of Labor’s “fiduciary rule” that would redefine…

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Massachusetts is investigating how Schorsch's RC Securities provided information to REIT investors

Massachusetts Secretary of the Commonwealth Galvin Investigates RCS Capital

Realty Capital Securities will be investigated in regards to information it provided to REIT investors, including accounting information…

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Advisor-Sold Direct Investments Offer Multiple Layers of Protection

In the advisor-sold direct investment world, there are several layers of protection for…

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News |Regulatory |States | Mar 20 2014

Investing in Oil & Gas with Bitcoin?

Recently the Texas State Securities Board issued an Emergency Cease and Desist Order to the oil & gas exploration company…

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