Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Congressional Activity: Financial Regulatory Reform (182)
Your search for Congressional Activity: Financial Regulatory Reform returned 182 results.
Sorted by Date

5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...
5/23/2018 | Content area: Investment Adviser
This is the financial reform bill passed by Congress in 2018.
3/07/2018 | Content area: Investment Adviser
To promote economic growth, provide tailored regulatory relief, and enhance consumer protections, and for other purposes.
6/15/2017 | Content area: Investment Adviser
If anyone knows the tangled regulatory structure of the U.S. government when it comes to financial services, it’s you. A new report from the Treasury ...
5/25/2017 | Content area: Investment Adviser
At a time when Republicans hold the trump card in Washington, regulators are on the defensive. But they are not giving up, either. Witness the scores...
4/27/2017 | Content area: Investment Adviser
Pick a side. One claims Dodd-Frank has stifled the economy and harmed Main Street. The other says replacing Dodd-Frank would invite back the risky fin...
4/25/2017 | Content area: Investment Adviser
This is the legislation proposed by Rep. Jeb Hensarling's (R-Texas) that would reform the Dodd-Frank law and make other changes. It passed the House i...
2/16/2017 | Content area: Investment Adviser
This week the new Financial CHOICE Act that would modify Dodd-Frank and other financial services’ regulation is expected to be unveiled. IA Watch has ...
2/09/2017 | Content area: Investment Adviser
You’re not alone if you’re confused about whether to proceed to comply with the Labor Department’s April 10th applicability date for its fiduciary dut...
1/17/2017 | Content area: Investment Adviser
“The SEC after the Financial Crisis: Protecting Investors, Preserving Markets”
11/23/2016 | Content area: Investment Adviser
The pending shift in the Administration and Republican control of Congress persuade Washington insiders that major changes are coming – although the p...
11/17/2016 | Content area: Investment Adviser
Speculation about the coming changes for the financial services industry under a Trump administration runs rampant. Since Dodd-Frank was enacted six y...
11/16/2016 | Content area: Investment Adviser
To me, it is a legitimate function of a government and a capitalist society to make sure that once people have done the right things—achieved an educa...
11/15/2016 | Content area: Investment Adviser
This is a wide-ranging congressional bill that would amend financial services laws. This was proposed by Rep. Jeb Hensarling (R-Texas) in 2016.
8/04/2015 | Content area: Investment Adviser | Broker-Dealer
During my tenure I have repeatedly called on the Commission to tread carefully when bringing enforcement actions against compliance personnel, who are...
7/22/2015 | Content area: Investment Adviser | Broker-Dealer
The court held that the SEC cannot apply a provision contained in the Dodd–Frank Wall Street Reform and Consumer Protection Act to bar an individual f...
7/16/2015 | Content area: Investment Adviser | Broker-Dealer
The Dodd-Frank Act was designed to strengthen our financial system, and the Commission has furthered that goal both through our implementation of the ...
6/03/2015 | Content area: Investment Adviser | Broker-Dealer
Commissioner Gallagher continues his theme about what he calls the "Crazy Quilt Chart of Regulation."
4/07/2015 | Content area: Investment Adviser
A review of the advertising and arbitration stances of nine major brokerage firms has lead the Public Investors Arbitration Bar Association to conclud...
10/23/2014 | Content area: Investment Adviser
Last week, a divided SEC Commission voted 3-2 to approve a final rule requiring entities that securitize mortgages and other debts as collateralized l...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US