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...

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,...

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...

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...

Crapo calls for 'bipartisan, common-sense' reform of financial regulations

May 17, 2017

Reducing federal financial regulations is the top priority for the Senate Banking Committee, its leader said on Wednesday. Sen. Mike Crapo, R-Idaho and chairman of the panel, said that excessive regulation holds back the economy. "It's becoming...

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...

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...

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...

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...

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'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...

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...

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...

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....

Mr. Adviser goes to Washington

June 13, 2014

More than two dozen members of the Investment Adviser Association chose an auspicious time to roam Capitol Hill on Thursday to meet with lawmakers and their staffs during the organization's Lobbying Day. The House was buzzing with intrigue about...

SEC on compliance: Do what you say you're doing

January 16, 2014

Whether a topic is appearing on the Securities and Exchange Commission's examination priority list for the first time, such as wrap-fee programs, or is making an encore appearance, such as dually registered advisers, the agency is looking at...

At least one new SEC commish to bolster cost-benefit push

August 2, 2013

An emphasis on the costs and benefits of regulations at the Securities and Exchange Commission is likely to grow stronger as it welcomes two new members. The Senate unanimously confirmed Democrat Kara Stein and Republican Michael Piwowar on...

Financial Literacy Month passes quietly on Capitol Hill

April 26, 2013

That many, if not most, Americans are woefully short on knowledge about finances and financial markets is no surprise. Even so, it will take more than special recognition over the course of a month to build momentum on Capitol Hill for the topic...

Politics of adviser oversight starting to change

March 15, 2013

Last year, investment advisers were playing defense on Capitol Hill on the issue of regulation. This year, they're on offense, and that gives the debate a different flavor. In 2012, then-chairman of the House Financial Services Committee Spencer...

SEC idea for harmonization a 'disaster' for advisers, says industry advocate

March 4, 2013

As the Securities and Exchange Commission embarks on an effort to quantify the impact on the financial markets of increasing investment-advice standards for brokers, it is signaling that it may first adjust the rules governing brokers and investment...

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