Elections, Legislations, & Regulations:
Continuing Deregulations or a Blue Wave

Recently Released!!!
Date Published: August 15, 2018
Summary Power Point Deck: 78 Slides
Reference Power Point Deck: 379 Slides

The purpose of this research is to provide readers with a comprehensive understanding of the upcoming elections and current legislation & regulations that affect the financial services industry, including various products & services, various markets & distribution channels, and specific financial services firms.

This research includes a history of past elections, legislation, & regulations, including these phases:
  • Bank Regulation Phase
  • Securities & Investments Acts Phase
  • Glass Steagall Restructuring Phase
  • Dodd Frank Wall Street Reform & Consumer Financial Protection Act Phase

This research highlights the key financial services industry regulatory bodies, and then outlines the key financial services laws:

  • Securites Act of 1933
  • Securites Exchange Act of 1934
  • Investment Advisors Act of 1940
  • Bank Holding Company Act of 1956
  • Employee Retirment & Income Security Act (ERISA) of 1974
  • Sarbanes Oxley Act of 2002
  • Patriot Act of 2008
  • Dodd Frank Wall Street Reform & Consumer Protection Act of 2010
  • Patient Protection & Affordable Care Act of 2010
This research addresses the recent elections, including:
  • President
  • Congress
And the research concludes on several future predictions, for elections, legislation, & regulations, including:
  • Evolving Consumer Marketplace
  • Financial Advisor Issues: The Fiduciary Standard & Other Issues
  • Financial Institutions Laws to be Relaxed
  • Blue Wave to Allow Democrats to Capture House in 2018 But Republicans to Retain Senate in 2018 & Presidency in 2020


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