Tag Archives: SEC

6 years after Dodd-Frank, Oversight of Financial Services Industry Still Needs Streamlining

Today is the 6th anniversary of the signing of the Dodd-Frank Act. The law made a range of financial reforms meant to help prevent future financial crises. For example, it closed gaps in the oversight of consumer protection and markets … Continue reading

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Financial Regulatory Structure (podcast)

Over the past 150 years, the U.S. financial regulatory structure has evolved in response to various financial crises and to keep pace with financial markets themselves as they advanced from tickertape to e-trading and beyond. As you can see, the … Continue reading

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Tracking Progress on Financial Stability and Reform

In response to the worst financial crisis in more than 75 years, U.S. policymakers undertook wide-ranging reforms. For example, the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) aims, among other things:

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Are Financial Planners Always Working in Your Best Interest?

People frequently use financial planners for help with such things as selecting investments and insurance products, and managing tax and estate planning. Entrusting someone with your money can be risky. What steps can you take to mitigate that risk?  We … Continue reading

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