Results for "legislation"

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One adviser's journey to becoming a citizen advocate

April 18, 2018

Some of the most rewarding experiences my team and I at the Financial Services Institute encounter as advocates for our industry come when we see the proverbial "light'" click on for our adviser members and we get a front row seat as they grow...

Bail-and-switch tactics get NASD's attention

July 12, 2004

WASHINGTON - Faced with growing evidence that variable annuity replacement activity is picking up, NASD is investigating "mini replacement campaigns" by individual brokers or groups of brokers who change firms and immediately replace their books...

Senate rollback of Dodd-Frank faces challenge in House

March 15, 2018

Not so fast. That was the message from House Republicans a day after the Senate passed sweeping legislation that many bankers consider their best chance in years of easing post-crisis financial rules. House Financial Services Chairman Jeb Hensarling,...

Senate votes to roll back parts of Dodd-Frank

March 15, 2018

The U.S. Senate passed legislation that would ease constraints on regional and community banks while mostly snubbing Wall Street, giving the finance industry its best chance in years of rolling back rules adopted in the wake of the 2008 crisis....

FSI aims for workable best-interest standard this year

February 27, 2018

It would be a great understatement to say 2017 was a year of momentous change for our industry. Reverberations of the Department of Labor fiduciary rule were felt far and wide, while the new political climate created new opportunities to advance...

Wall Street doesn't get much relief in Dodd-Frank reboot

March 5, 2018

The U.S. Senate is expected to approve a sweeping revamp of financial rules this week. Of all the surprises that entails — about a dozen Democrats signing on, Republicans leaving a lot of the much-maligned Dodd-Frank legislation intact —...

Donald J. Trump's first 100 days

April 27, 2017

Did you vote for Donald J. Trump for president in November 2016? If so, would you vote for President Trump again based on his time in office so far? Do you approve or disapprove of the way Mr. Trump has handled the job as president so far? *InvestmentNews...

Tax reform creates opportunities for advisers

January 17, 2018

Wealth planning professionals could come out winners in the tax reform game. The new tax law doubles the estate and gift tax exemption amount, meaning fewer families will need extensive planning to avoid the tax. But that increased exemption...

Health care now moves to a slow track in Senate

May 5, 2017

Passage of the House's health-care bill gives the Obamacare repeal effort new life after months of wrangling, but key Republican senators are already pushing it aside to write their own bill with no clear timetable to act. The narrowly passed...

FSI expects a more business friendly environment in 2017

January 31, 2017

The political world is still responding to the monumental and unexpected change we saw at the end of 2016, as the Republican party — led by now-President Donald J. Trump — took control of the White House and both houses of Congress. Our...

Senate bill aims for higher SEC enforcement penalties

March 30, 2017

The Securities and Exchange Commission could substantially increase enforcement sanctions under bipartisan legislation introduced on Thursday. The bill would allow the SEC to impose a maximum $1 million penalty on individuals per violation for...

SEC's Piwowar calls for expanding participation in private placements to help 'forgotten investor'

February 24, 2017

Acting Securities and Exchange Commissioner Michael Piwowar called for allowing ordinary investors to buy unregistered securities, a step that would allow the agency to address the "forgotten investor" who he said is often overlooked by its...

Just how much is Hillary Clinton raking in from Wall Street, and what does it mean for advisers?

February 5, 2016

Follow the money. It's advice that's applied to solving crimes as well as determining how politicians will vote and which issues they will support. Sometimes, though, following the money in politics can lead to a dead end — or at least a crossroads....

Building bipartisan support for the Senior Safe Act

August 4, 2016

Even in a crucial election year, there are some issues that simply cannot wait. Financial exploitation of our senior citizens is one such issue. As financial advisers are well aware, every day that goes by without the proper safeguards in place...

Senate tax bill is a hike on retail investors

November 30, 2017

Congress is currently working on a massive overhaul to our tax code, and the Republican-led majority appears committed to signing a bill into law before the end of the year. While the proposals have far-reaching impact, one provision proposed...

Senate's takedown of the CFPB's class-action rule may pave way for challenge to Finra policy

October 25, 2017

After the Senate's rejection Tuesday of the Consumer Financial Protection Bureau's rule on class-action lawsuits, concern is brewing among investor advocates that the financial industry will set its sights on a similar policy at Finra. The Republican-controlled...

Advocate says no SEC action may be preferable on fiduciary duty

February 4, 2014

One of the newest Securities and Exchange Commission members last week made it clear that the SEC is split on whether to proceed with a rule that would raise investment advice standards for brokers. Following a speech at the U.S. Chamber of...

Lobbyists put hands in sausage maker

August 15, 2013

When Congress comes back from its summer recess in September, lawmakers will only have a few weeks to press the Department of Labor to delay a pending proposal to strengthen investment-advice rules for retirement plans. Originally floated in...

Bridging the gap between advisers and their elected representatives

April 29, 2015

Something about the title “representative” or “senator” seems to put the person holding it behind an imaginary wall, whether at the state or federal level. Even though we know our elected officials work for us, many of us assume that...

SEC's plan for adviser SRO has left the building, along with Walter

July 16, 2013

Within a matter of weeks, a new SEC will most likely be in place. That could mean a change in atmosphere for an issue important to investment advisers. Nominees for two Securities and Exchange Commission positions — Democrat Kara Stein and...

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