Results for "legislation"

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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...

Taking stock of the new political landscape in Washington

November 19, 2018

Votes in a number of races are still being counted, but it's already clear that the next Congress will present both challenges and opportunities for our profession. Given the slim majorities in each chamber, governing effectively on a consistent...

Maxine Waters may raise profile of diversity, but legislating solution will be difficult

January 30, 2019

A new congressional committee devoted to increasing the number of women and people of color in the financial industry will raise the profile of the issue, but a solution is more likely to come from firms than from Washington, according to diversity...

Shutdown likely to last past Christmas as wall fight drags on

December 24, 2018

The U.S. government shutdown has entered a third day. It's likely to last at least until late in the week, and maybe into January, as the White House and Democrats remain at an impasse over President Donald Trump's demand for billions of dollars...

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...

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...

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...

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...

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...

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...

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....

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...

'Permanent' tax rates? More like ephemeral

January 9, 2013

One of the features of the fiscal-cliff bill approved last week by Congress was that it supposedly settled the question of marginal tax rates for good. It delivered the permanence to the vast majority of Bush tax cuts that investment advisers...

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