Results for "legislation"

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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...

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...

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...

CFP Board opposes state regulation of financial planning process

September 24, 2018

The Certified Financial Planner Board of Standards Inc. announced Monday that it opposes state regulation of planners. The organization is staking out its position to try to preempt potential bills from percolating in statehouses as most legislatures...

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...

Stifel CEO Kruszewski named chairman of American Securities Association

September 12, 2018

Ronald J. Kruszewski, chairman and chief executive of Stifel Financial Corp., was named chairman of the American Securities Association on Wednesday, helming a group that represents regional financial firms in Washington. Mr. Kruszewski will...

Bills to reform adviser regulation, increase sophisticated investors and protect seniors pass House

July 17, 2018

The House of Representatives gave overwhelming bipartisan approval Tuesday to legislation that included bills to reform investment adviser regulation, expand the pool of sophisticated investors and protect senior investors. The measures were...

Bill could ease regulatory burden on small investment advisory firms

July 10, 2018

Federal legislation poised for consideration by a House committee on Wednesday could reduce regulatory costs for smaller investment advisory firms. Under the bill, written by Rep. Gwen Moore, D-Wisc., the Securities and Exchange Commission would...

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...

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

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...

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...

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 —...

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...

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