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House Democrats try to protect DOL fiduciary rule from repeal in Dodd-Frank overhaul bill
More than two hours of debate brings up old arguments from both Democrats and Republicans over whether rule will help or hurt the middle class.
House approves bill to lift restrictions on brokers’ ETF research reports
A similar measure is awaiting action on the Senate floor, where it is expected to pass.
After his confirmation as SEC chairman, Jay Clayton is urged to tackle fiduciary standard
Financial services groups urge new SEC head to make uniform fiduciary standard a priority.
Provision to kill DOL fiduciary rule left out of funding bill
Democratic support could bode well for future legislative threats, as critics of the rule turn their attention to new Department of Labor secretary Alexander Acosta.
The SEC would have to jump through hoops to get approval for its own fiduciary rule
The proposed Financial CHOICE Act lays out a series of tough provisions the SEC would have to meet to adopt a uniform fiduciary standard.
Jailed former LPL rep faces SEC fraud charges
Ex-broker now accused of violating securities laws with fictitious investments
SEC charges former broker with putting customers in unsuitable, risky investments
Demitrios Hall racked up commissions from leveraged trades in ETFs and ETNs for unsophisticated clients.
Former RIA gets year probation for obstructing SEC investigation into referral fee
An investment adviser barred from the industry for making referral payments to an attorney for access to a…
Piwowar says it’s time for SEC to ‘reassert its role’ on investment advice standards
As DOL fiduciary rule stalls, Michael Piwowar seeks to have SEC step in.
SEC enforcement actions against broker-dealers up 20%
But overall activity in first half of the government's fiscal year remained on par with the same period last year.
Supreme Court to hear financial adviser case involving disgorgement
Charles Kokesh is appealing a lower court's decision siding with the SEC that gains reaped through securities-law infractions do not fall under the five-year statute of limitations.
DOL faces tough road in revising or repealing fiduciary rule
Any significant changes would likely spur a lawsuit, and the courts have been tougher on regulators when they reverse course on rules after a new president comes into office.
Fake news! SEC warns that some investment research is a sham
Takes enforcement action against firms taking money to tout stocks.
Arizona broker-dealer settles charges it underwrote fraudulent muni bonds
Lawson Financial settles with SEC over due diligence in nursing home financings.
SEC explores ways to strengthen compliance of independent advisers
The regulator sees difference in compliance levels between W-2 and affiliated advisers, says Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations.
Jay Clayton approved by Senate panel to be SEC chairman
The full Senate is expected to vote on the nomination later this month.
SEC rejects appeal by Dawn Bennett
The commission's March 30 opinion clears the way for Ms. Bennett to move forward with her federal court claims that the agency's in-house forum is unconstitutional.
Jay Clayton talked to several wealthy Trump backers before nomination to SEC
Nominee had conversations with Peter Thiel, Rebecca Mercer, Stephen Bannon and Carl Ichan as some Democrats question whether he will be a tough regulator.
SEC bars ex-LPL broker already serving 12-year prison sentence
Thomas Caniford pled guilty to securities fraud, publishing false statements and theft from the elderly.
Senate bill aims for higher SEC enforcement penalties
The bi-partisan legislation would permit the regulator to pursue larger fines through its administrative process
