Regulatory
Banks, Congress Still Bickering Over Consumer Finance Bureau
The banking industry's struggle with the formation of the Consumer Financial Protection Bureau can be illuminating for advisors trying to frame their own regulatory concerns.
Would Relaxing The Rules On Capital Reserves Help Or Hurt Broker-Dealers?
Under Dodd-Frank, the SEC is working to remove the credit agencies from their central role in the industry, which includes calculating broker-dealer capital.
Michael Oxley Explains What He's Doing As A Lobbyist For FINRA
The co-author of the Sarbanes-Oxley reforms is back in Washington helping Congress get perspective on the Dodd-Frank act -- on behalf of FINRA.
Funding Compromise For SEC May Be Worst Of Both Worlds
The federal budget deal gives the SEC a lot more money than what House Republicans wanted, but a fair amount less than what Mary Schapiro insists the regulator needs.
What The SEC Plans To Do If The Government Shuts Down
If Congressional bickering over the federal budget ends up forcing the government to shut down on Friday, one of the lightning rods of recent debate -- the SEC -- will have to shut down with it, Mary Schapiro says.
More Articles ...
- New House Budget Proposal Trims Dodd-Frank But Leaves Most Of The Reforms Intact
- Movement To Repeal Dodd-Frank Reaches Senate, But The Argument Is Confusing
- Don't Expect A Unified Fiduciary Standard Before The Third Quarter, SEC Says
- SEC Now Facing Legal Pressure From Allen Stanford's Aggrieved Clients
