Dodd-Frank
Financial Choice Act would require shareowners that want to file a resolution at a company’s annual meeting to hold 1% of a company’s shares for three years to do so. Categories: Standards, Ethics and Regulations
No one really knows at this point what impact President-elect Trump or the cabinet that he puts together will have on the global economy, capital markets, or financial industry.
CFA Institute survey results reveal that more than 50% of members who responded believe there is too much regulation in the US financial markets.
Broad-based proposed legislation could bring wide-sweeping reforms to financial market regulation and undo Dodd–Frank and the DOL Fiduciary Rule.
Merrill Lynch disregards existing regulations and puts its customers at risk in the pursuit of short-term gains. SEC fines them $425 million.
Minneapolis Fed President Neel Kashkari’s call to break up big banks has reopened a debate on whether the US has done enough to prevent another global financial crisis of the magnitude felt in 2008.
Despite attempts to gut, or at least delay, the Labor Department’s fiduciary rule, other priorities ultimately ruled the day for Congressional opponents.
In a wide-ranging interview on financial policy issues, US Rep. Robert Hurt (R–VA) discusses Dodd-Frank and the Labor Department’s controversial fiduciary rule proposal to raise investment advice standards for retirement accounts.
Do asset managers pose a systemic risk? Can we expect bipartisan efforts on financial policy issues? Jim Allen, CFA, offers his analysis.
It didn't take long after November's elections for the fireworks to reignite in Congress, especially in financial services matters.
How has the use of collateral to mitigate counterparty risk and central clearing helped to reshape the financial system post-crisis?
Jim Allen, CFA, hones in on three financial policy issues and their likely future in Congress post-mid-term elections.
Four years after Dodd-Frank, what's on the bank-regulatory horizon for shadow banking, resolution planning, securities regulations, and consumer protection rules?