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Tag Archives: Securities and Exchange Commission
How Do Environmental, Social, and Governance Factors Relate to Investing?
Nonfinancial information about how companies operate can be an indicator of their long-term financial performance. This information includes how companies address environmental, social, and governance (ESG) factors. ESG factors include things like climate change impacts and cybersecurity programs that may … Continue reading
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
Posted in Business Regulation and Consumer Protection, Financial Markets and Institutions, Podcast
Tagged Dodd-Frank, Dodd-Frank Wall Street Reform and Consumer Protection Act, FDIC, financial regs, Financial Stability Oversight Council, FMCI, FSOC, FTC, insurance, Lawrance Evans, Office of Financial Research, OFR, SEC, securities, Securities and Exchange Commission
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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
Posted in Business Regulation and Consumer Protection, Financial Markets and Institutions, Graphic, Retirement Security
Tagged CFPB, consumer protection, Dodd-Frank, financial planners, financial planning, FMCI, GAO, government accountability office, oversight, regulation, retirement savings, retirement security, risk, SEC, Securities and Exchange Commission, usgao
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