U.S. regulatory reform
FINRA’s investor protection motivations are certainly laudable, but CFA Institute recommends implementation of the SEC’s CAT system, which is further along, before FINRA’s CARDS system.
Have investors noticed any changes in liquidity as a result of the Volcker Rule?
Four years after Dodd-Frank, what's on the bank-regulatory horizon for shadow banking, resolution planning, securities regulations, and consumer protection rules?
This podcast covers the Johnson-Crapo mortgage finance reform bill, OTC derivatives, systemic risk associated with central clearinghouses, and an overview credit rating agencies.
Kurt Schacht, CFA, managing director of the Standards and Financial Market Integrity division at CFA Institute, has been elected to serve as chair of the Investor Advisory Committee.
For investors, the agreement retains many of the flaws that CFA Institute has raised in meetings with staff on Capitol Hill.
James Allen, CFA, head of Americas capital markets policy at CFA Institute, responds to crowdfunding proposals from the SEC and FINRA.
Will crowdfunding allow investors to tap into new wealth or result in a loss of investor money and confidence that ultimately undermines its appeal?
Jim Allen, CFA, discusses the likely legislative path of much-needed mortgage market reform.
It is the investment sector that will determine the ultimate success or failure of any MBS reform effort.