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: Coalition Urges SEC Chair Mary Jo White to Reinstate Prior Staff Policy on Exclusion of Shareholder Proposals that Conflict with Management Proposals

The Financial Services Roundtable recently joined with 16 other sector organiza-tions (the Coalition), which, together, represent a cross-section of the American economy, in drafting an advocacy letter to Securities and Exchange Commission (SEC) Chair Mary Jo White requesting that the SEC reinstate the Division of Cor-poration Finance’s policy...

Rules In Focus: President Obama Announces Support of Changes to ERISA Fiduciary Standards

In a February 23 speech at the Headquarters of the AARP, President Obama endorsed the Department of Labor’s (DOL) decision to propose further changes to the definition of “investment-advice fiduciary” under the Employee Retirement Income Security Act (ERISA).

Rules In Focus: SEC Holds Roundtable on Proxy Voting

The Securities and Exchange Commission (SEC) recently announced the agenda and panelists for its February 19th roundtable on ways to improve the proxy voting process. The roundtable will be divided into two panels. The panelists are drawn from industry, shareholders, and proxy advisors, and will discuss a variety of issues related to proxy voting.

Rules In Focus: SEC Commissioner Aguilar Wants SEC to Do More to Protect Retirement Savings

During a February 5th speech at the American Retirement Initiative’s Winter 2015 Summit, Securities and Exchange Commissioner Luis Aguilar discussed the Securities and Exchange Commission’s (SEC) approach to retirement savings, and faulted the SEC for not strengthening disclosures related to municipal bonds and target date funds.

Rules In Focus: SEC to Hold Roundtable on Proxy Voting

The Securities and Exchange Commission (SEC) announced that it will host a roundtable on February 19, 2015, to explore ways to improve the proxy voting process. The roundtable, which will be held at the SEC’s Washington, D.C., headquarters, will focus on universal proxy ballots and retail participation in the proxy process.