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Congressional Activity (55)
Your search for Congressional Activity returned 55 results.
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9/25/2018 | Content area: Investment Adviser
To require the Securities and Exchange Commission to revise the definitions of a ‘‘small business’’ and ‘‘small organization’’ for purposes of assessi...
8/10/2018 | Content area: Investment Adviser
Christopher Collins learned of the negative clinical trial results on the evening of June 22, 2017 in an email from Innate’s CEO to the board of direc...
6/14/2018 | Content area: Investment Adviser
With only days to go before the nation’s highest court rules in an IA enforcement case challenging the SEC’s use of administrative law judges, lawmake...
6/14/2018 | Content area: Investment Adviser
Not long after Washington streets cleared of fans celebrating their hockey team winning the cherished Stanley Cup, a much smaller group of advisers he...
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.
1/09/2018 | Content area: CPO/CTA
I very much welcome this letter from Senators Roberts and Stabenow. I am very grateful to them for their strong support of the CFTC and the approach I...
1/01/2018 | Content area: Investment Adviser
This is the bill that would dramatically change the nation's tax structure.
5/25/2017 | Content area: CPO/CTA
With visions of boosting its analytics, monitoring of derivatives and exams, the CFTC has submitted a budget request to Congress that seeks an increas...
5/23/2017 | Content area: CPO/CTA
I believe that the budget request that we are submitting is inadequate and will prevent us from being able to fulfill our mission of protecting invest...
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...
4/07/2017 | Content area: Investment Adviser
Senators are going back to the well once more in a bid to increase the SEC’s enforcement penalties and further crack down on recidivist activity. On M...
3/30/2017 | Content area: Investment Adviser
Acting SEC Chairman Michael Piwowar has occupied his perch for little more than two months but has already stirred the ire of Senator Elizabeth Warren...
1/02/2017 | Content area: Investment Adviser
A hatchet chopping at the Labor Department’s fiduciary duty rule. Third-party exams coming for investment advisers. The SEC’s “broken windows” policy ...
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.
6/16/2016 | Content area: Investment Adviser
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements...
5/12/2016 | Content area: Broker-Dealer
A February study that generated a great deal of industry buzz for revealing high rates of misconduct among financial advisers under FINRA’s supervisio...
4/14/2016 | Content area: CPO/CTA
I also welcome today’s efforts to address the CFTC’s significant resource needs. The funding language proposed by Senator Stabenow addresses the fact ...

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