All Rules & Regulations articles
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Article
With Feds poised to scale back regulations, can states fill the void?
With Congress and a new president dead set on rolling back rulemaking, state regulators may gain renewed prominence. Joe Mont explores.
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Blog
Executive Order: to add a new regulation, kill two others
An Executive Order issued on Monday by President Donald J. Trump demands that every new regulation issued by federal agencies must be offset by the elimination of at least two prior ones. Joe Mont explores.
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Article
The night before Regulation XMAS
It ain’t easy being Santa. A rulemaking petition filed with the Securities and Exchange Commission could change that, reports Joe Mont.
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Blog
Hensarling warns SEC about 'midnight regulations'
The chairman of the House Financial Services Committee is warning the SEC to put a halt to any new rules it may have planed prior to the start of the Trump Administration.
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Blog
Financial Services Roundtable questions presidential candidates
The Financial Services Roundtable is asking presidential candidates to give their views on judging the effectiveness of U.S. financial regulators, increasing transparency into SIFI designations, and the future of the Consumer Financial Protection Bureau. More from Joe Mont.
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Blog
Rule would require investment advisers to adopt continuity plans
Registered investment advisers would be required to implement written business continuity and transition plans under a newly proposed rule from the Securities and Exchange Commission. It would require plans to include policies and procedures addressing data protection, pre-arranged alternative physical locations, communication plans, and reviews of third-party service providers.
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BlogMore regulatory questions than answers following Brexit vote
Expect more questions than immediate answers following the “Brexit” vote, a decision that sees the United Kingdom leaving the European Union. While the country has its own regulatory regimes, it was also a party to many EU-wide regulations that may either stay in effect, be revised, or cast aside in ...