DOJ Files to Halt Thrivent Case Against DOL Fiduciary Rule
DOJ, on behalf of DOL, asked a federal judge to stay the case filed against Labor’s fiduciary rule by Thrivent Financial for Lutherans.
FINRA Panel Says UBS Must Pay $9M to Puerto Rican Muni Investor
The arbitration ruling comes just one month after an $18 million ruling, with more decisions expected.
CFPB Barred, for Now, From Naming Company Under Investigation
The company offers pension advance products that allow consumers to receive a lump sum payment in exchange for future benefits.
NASAA, SEC Sign Crowdfunding Agreement as Rules Kick In
MOU allows federal and state securities regulators to monitor the effects of new rules and guard against fraud.
Citi Faces 3 FINRA Fines: Enforcement
In another enforcement action, a purported real estate investment manager settled SEC fraud charges.
How RIAs Can Promote Their Fiduciary Standard
Whether the DOL fiduciary rule gets repealed or not, clients will have questions. Here's how to get ahead of those questions.
Deadline Approaching for New York Cybersecurity Regulations
The mandate will take effect March 1 and “goes beyond even what the SEC and FINRA have put forth."
Luis Aguilar, Ron Carson Join Institute for the Fiduciary Standard Advisory Board
Dan Solin and Woodrow Leake were also named to the board featuring John Bogle and Tamar Frankel.
California Regulators Check 1% of BDs, Investment Advisor Firms: Report
Less than 270 exams took place in the 2015-16 fiscal year, according to the state's Department of Business Oversight.
CFPB, Cordray Win Second Chance to Avoid a Trump Firing
A U.S. appeals court agreed to reconsider an earlier decision that stripped Cordray of job protection, which left him at the mercy of Trump.