Sen. Warren Launches Probe Into Equifax Hack
Elizabeth Warren wants answers from regulators as well as the other credit bureaus, TransUnion and Experian.
SEC Continues Crackdown on Mutual Fund Share Classes
SEC is acting against two firms over their use of more expensive Class A shares and 12b-1 fees.
SEC Highlights Top Advisor Ad Violations
OCIE risk alert details advisors' failures to comply with Rule 206(4)-1, also known as the Advertising Rule.
Bills Would Tighten Credit Check Rules, Make Credit Freezes Free
Credit histories “are riddled with errors and the recent Equifax breach makes that much more likely,” Sen. Elizabeth Warren said.
Senators Demand Equifax Insider Trading Probe
The fallout from the massive Equifax hack continues, with lawmakers and consumer advocates continuing to demand further action.
Equifax Breach Causes Uproar in Financial Services Community
Rep. Hensarling and Attorney General Schneiderman want answers on the breach, which affected up to 143 million accounts.
FINRA Mulls Releasing ‘Bulk’ BrokerCheck Data
Bulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
Rep. Wagner to Introduce Bill Repealing DOL Fiduciary Rule by Sept. 30
The move comes as SEC Chairman Clayton is set to testify before the House Financial Services Committee in early October.
WFAN Radio Host Craig Carton Arrested in Concert Ticket Scam
Carton ran the scam with Joseph Meli, the New York businessman who was charged in another Ponzi scheme involving "Hamilton" tickets, the SEC said.
House Passes Bill to Rein In IRS, DOJ Asset Forfeitures
Civil asset forfeiture started as a crime-fighting tool but has morphed into a complex process that can unfairly entangle innocent Americans, said Rep. Crowley.