Searching Content by Steven Lofchie ordered by Published Date Descending.
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SEC Investor Advisory Committee Considers Retail Best Interest Standard For Broker-Dealers
The SEC Investor Advisory Committee considered recent SEC proposals that would (i) set a best interest standard for broker-dealers that provide investment advice to retail clients ...
United States
22 Jun 2018
SEC Commissioner Calls For Revision Of Stock Buyback Rules
SEC Commissioner Robert J. Jackson Jr. advocated for the review and revision of SEC rules to limit executives from using stock buybacks to cash out at the expense of investors.
United States
13 Jun 2018
SEC Addresses Delivery Of Mutual Fund Documents To Shareholders
The SEC approved a rule and two requests for comments relating to mutual fund disclosure.
United States
7 Jun 2018
SEC Allows Temporary Delay Of Mutual Fund Proceed Disbursements To Protect Vulnerable Adults
The SEC Division of Investment Management (the "Division") granted no-action relief permitting mutual funds and their SEC-registered transfer agents to delay disbursement of proceeds..
United States
6 Jun 2018
Thirteen IAs Fined For Failing To Report On Form PF
Thirteen investment advisers reached agreements with the SEC to settle charges of failing to meet reporting requirements in connection with private funds they advise.
United States
5 Jun 2018
SEC Files Complaint Against Former Registered Representative And Issues Investor Alert
The SEC charged a former registered representative of a broker-dealer with fraud for engaging in an $8 million investment scam.
United States
1 Jun 2018
CFTC Grants Registration Relief To CPO
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") granted no-action relief from registration to a commodity pool operator (the "Delegating CPO") ...
United States
31 May 2018
CFTC and NASAA Execute Mutual Cooperation Agreement
CFTC Chair J. Christopher Giancarlo and North American Securities Administrators Association ("NASAA") President Joseph P. Borg signed an agreement to share ...
United States
24 May 2018
MSRB Proposes Consolidated Rule Governing Discretionary Transactions In Customer Accounts
The MSRB stated that it proposed the Rule in order to improve consistency with other regulators and to clarify the applicable requirements.
United States
22 May 2018
SEC Commissioner Faults Regulatory Policies For Downward Trend In IPOs
SEC Commissioner Hester M. Peirce cited ongoing regulatory costs as a material factor in the decrease in IPOs in recent years and recommended ways to reverse the trend.
United States
18 May 2018
SEC Commissioner Explains Approach To Enforcement Actions
SEC Commissioner Hester M. Peirce explained her reasoning for often voting against enforcement recommendations, arguing that although enforcement is an important tool for the SEC...
United States
18 May 2018
CFPB Reviews Spring 2018 Rulemaking Agenda
The Consumer Financial Protection Bureau ("CFPB") listed "the regulatory matters that the Bureau reasonably anticipates having under consideration during the period from May 1, 2018, to April 30, 2019."
United States
16 May 2018
Broker-Dealer Pays Fine For Improper Recommendations Regarding Variable Annuity Exchanges
VAs are considered by FINRA to be complex investments that are frequently marketed and sold to retirees and people saving for retirement.
United States
15 May 2018
House Of Representatives Repeals CFPB Auto-Loan Financing Regulatory Guidance
The House of Representatives voted to withdraw the Consumer Financial Protection Bureau ("CFPB") regulatory guidance on auto-loan financing using Congressional Review Act ("CRA") authority.
United States
15 May 2018
SEC Commissioner Michael Piwowar Resigns
Dr. Piwowar was appointed to the Commission by President Obama in 2013 and briefly served as Acting SEC Chair under President Trump.
United States
11 May 2018
NASDAQ Requests Suspension In UTP Trading For Certain Thinly Traded Securities
If this request is approved, the SEC should look at the issue of market fragmentation more generally.
United States
9 May 2018
CFTC Commissioners Have Different Wish Lists
In separate remarks at the FIA 40th Annual Law and Compliance Conference, CFTC Commissioners Brian Quintenz and Rostin Behnam described their respective regulatory priorities in contrasting terms.
United States
8 May 2018
FINRA Proposes Rule Amendments To Enhance Oversight Of High-Risk Brokers
In addition, FINRA proposed rule amendments intended to enhance FINRA's oversight of high-risk brokers and their employers.
United States
4 May 2018
SEC Director Of Investment Management Answers Questions On Proposed "Best Interest" Standard
Finally, Ms. Blass explained that the new interpretive guidance for investment advisers would serve to clarify their fiduciary duty standards.
United States
3 May 2018
NYDFS Proposes "Best Interest" Standard For Sellers Of Life Insurance And Annuity Products
The New York Department of Financial Services ("DFS") proposed amendments to New York's existing suitability regulation in order to establish a "best interest" standard for the sellers...
United States
3 May 2018
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