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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...

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...

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...

More advisers disapprove of Trump job performance at six-month mark

July 27, 2017

Financial advisers are increasingly dismayed by President Donald J. Trump's performance in office, as he begins the second half of his first year. An InvestmentNews poll of 991 readers shows that 59% either "disapprove" or "strongly disapprove"...

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...

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...

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...

Trump administration wants to rewrite Dodd-Frank regulations

June 13, 2017

The Trump administration laid out its highly anticipated plan for overhauling bank rules, calling on the government to ease, though not eliminate, many of the strictures that were imposed on Wall Street after the financial crisis. The changes,...

How to serve clients during a Trump presidency

May 17, 2017

Since last November's presidential election, politics have dominated so many conversations. Investing, of course, is no exception. Many investors question what a Trump presidency means for markets. Some worry he'll introduce sweeping changes....

Wall Street sounds off on Trump's firing of FBI Director James Comey

May 10, 2017

In the wake of President Donald J. Trump's firing of FBI Director James Comey, Wall Street is weighing whether the political fallout will kill any momentum the White House had for its economic agenda. The abrupt decision has investors raising...

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...

Donald J. Trump's first 100 days: the highs and lows

April 30, 2017

Despite what President Donald J. Trump says, the first 100 days of an administration are important. That's when a new president makes clear their priorities, proclivities and, perhaps most importantly, their character. Mr. Trump is no exception,...

The SEC would have to jump through hoops to get approval for its own fiduciary rule

April 28, 2017

Republican lawmakers and financial industry opponents of the Labor Department's fiduciary rule repeatedly say — almost like a mantra — that the Securities and Exchange Commission is the place where such a regulation should originate. The...

William Galvin blasts House Financial CHOICE Act

April 25, 2017

In a letter to members of the House Financial Services Committee, the chief securities regulator for Massachusetts warned that the House Financial CHOICE Act of 2017 would "leave their own constituents at the risk of fraud and financial abuse."...

Financial Planning Coalition opposes spending bill riders that would kill DOL fiduciary rule

April 25, 2017

The Financial Planning Coalition — a lobbying group comprising the Certified Financial Planner Board of Standards Inc., the Financial Planning Association and the National Association of Personal Financial Advisors — has called on members...

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....

SEC chairman nominee Clayton not asked about key adviser issues, reveals no specific plans

March 23, 2017

After two hours and twenty-five minutes of testimony before the Senate Banking Committee on Thursday, President Donald J. Trump's nominee to chair the Securities and Exchange Commission, Jay Clayton, remains a blank slate on issues affecting...

Finra's lobbying expenses down, but regulator still spends heavily to make sure its voice is heard on Capitol Hill

March 16, 2017

Finra's lobbying bill fell to its lowest point in four years in 2016, but the broker-dealer regulator still spends a hefty amount to have its voice heard on Capitol Hill. The Financial Industry Regulatory Authority Inc., the brokerage industry's...

Dodd-Frank reform may be put on back burner

March 2, 2017

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 looked like a goner when President Donald J. Trump was elected in November. During the campaign, Trump repeatedly blasted the law as a loan-killing, anti-job disaster. His...

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