Regulatory & Compliance

Rep. Ann Wagner Propose Alternative to DoL Regulation

Details: Written by PFA News

Republican Rep. Ann Wagner of Missouri has introduced legislation that would create a new standard for advisors that would fall somewhat between fiduciary and suitability requirements. So reports InsuranceNewsNet.

Nevada Passes Fiduciary Standard

Details: Written by PFA News

Nevada has passed a bill requiring brokers, advisors and sales representatives to adhere to a fiduciary standard. So reports Insurancenewsnet.

Regulators Shut Down Advisor Who Made Misleading Statements

Details: Written by PFA News

The Michigan Department of Licensing and Regulatory Affairs has fined Creative Wealth Strategies and its principal $120,000 and has ordered the firm to cease operations following an investigation into violation of securities rules. So reports Downtown Publications.

SEC Commissioner Expresses Concerns Over Crowd Funding

Details: Written by PFA News

SEC Commissioner Michael Piwowar says he’s concerned that many investors don’t fully understand how the simple agreement for future equity works as part of crowd funding. So reports CrowdFundInsider.

Labor Secretary Seeks Long-term Freeze of Fiduciary Proposal

Details: Written by PFA News

Labor Secretary Alexander Acosta has told Senator Tim Scott, a Republican from South Carolina, that he wants to put a halt to the fiduciary rule in a way that will “stick.” So reports InsuranceNetNews.

Regulatory & Compliance

Rep. Ann Wagner Propose Alternative to DoL Regulation

Nevada Passes Fiduciary Standard

Regulators Shut Down Advisor Who Made Misleading Statements

SEC Commissioner Expresses Concerns Over Crowd Funding

Labor Secretary Seeks Long-term Freeze of Fiduciary Proposal

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