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IA Rules & Regulatory Actions

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Senior couple consults with female real estate agent

DOL Fiduciary Duty Rule

Retirement Security Rule: Definition of an Investment Advice Fiduciary

17 hours ago

Business people shaking hands in the office. Group of business persons in business meeting. Three entrepreneurs on meeting in board room. Corporate business team on meeting in modern office. Female manager discussing new project with her colleagues. Company owner on a meeting with two of her employees in her office.

Department of Labor

Amendment to Prohibited Transaction Exemption 84-24

Financial advisor consultation with clients on retirement, finance planning or investment and document on laptop screen. Accountant woman, senior people and pension advice, asset management or budget

Department of Labor

Amendment to Prohibited Transaction Exemptions 75-1, 77-4, 80-83, 83-1, and 86- 128

Department of Labor

Amendment to Prohibited Transaction Exemption 2020-02

DOL

DOL Fiduciary Duty Rule

ERISA Rule 3-21 (Definition of “Fiduciary”)

Daniel R. Baker

Administrative Proceedings

August 22 2014

Andrew I. Farmer, et al.

Investment Advisers

August 21 2014

SEC Charges Company and Four Individuals Behind Pump-And-Dump Scheme Touting Technology to End Fracking

Founding Partners Capital Management Company

Administrative Proceedings

August 21 2014

Bank of America Corporation

Administrative Proceedings

August 21 2014

Randi A. Bochinski

Administrative Proceedings

August 20 2014

Walter Ng

Administrative Proceedings

August 20 2014

Kelly Ng

Administrative Proceedings

August 20 2014

Monness, Crespi, Hardt & Co., Inc.

Administrative Proceedings

August 20 2014

Zhidali Radio and Television Network, Inc.

Administrative Proceedings

August 20 2014

Crescent Banking Co., et al.

Administrative Proceedings

August 20 2014

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