Rules In Focus Newsletters

Rules In Focus

Rules in Focus is FSR’s regulatory newsletter featuring the latest insights from the Fed, CFPB, SEC and other major regulators that oversee the financial services industry and the implementation of the Dodd Frank law.

FSR Regulatory Updates


Rules in Focus: Dodd-Frank Finish Line Ahead, Many Regulations Remain

Rules in Focus is FSR’s regulatory newsletter featuring the latest insights from the Fed, CFPB, SEC and other major regulators that oversee the financial services industry and the implementation of the Dodd Frank law. FSR Regulatory Updates Dodd-Frank Act Progress Dodd-Frank Finish Line Ahead, Many Regulations Remain Investment Management FSR...

Rules in Focus: FSR Urges Reforms to Enforcement Proceedings in the SEC’s Administrative Forum

FSR recently commented on the Securities and Exchange Commission’s (SEC) proposal to update the procedures used to litigate alleged violations of securities laws and regulations before the SEC’s Administrative Law Judges (ALJ). Given the SEC’s enhanced authority under the Dodd-Frank Act and the SEC’s increasing tendency to bring...

Rules in Focus: Congress Signals Bipartisan Support for Changes to DoL’s Retirement Advice Rule

As the Department of Labor (DoL) prepares to release the final rule on retirement advice in the first half of 2016, members of Congress on both sides of the aisle continue to urge the DoL to address unintended consequences of the proposed rule that would adversely impact low and moderate-income workers’ access to high-quality, affordable...

Rules in Focus: House Republicans Demand Changes to Proposed DoL Rule on Retirement Investment Advice

Last week, more than 100 House Republicans sent a letter to Secretary of Labor Thomas Perez opposing the Department of Labor’s (DoL) proposed regulation to expand the definition of “investment-advice fiduciary” under the Employee Retirement Security Income Act. The Republican lawmakers noted the proposed rule’s “mechanics and...

Rules in Focus: FSR Again Urges DoL to Simplify its Proposed Rule on Offering Retirement Advice

On September 24, FSR submitted a follow-up letter again urging the Department of Labor (DoL) to adopt an alternative “prohibited transaction exemption” (PTE) as part of its pending rulemaking on defining investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). FSR’s proposed “SIMPLE” PTE would incorporate...