FINRA:
Being Shaped by the Recent Presidential & Congressional Elections

Recently Released!!!
Date Published: January 24, 2016
Summary Power Point Deck: 33 Slides
Reference Power Point Deck: 274 Slides

The purpose of this research is to provide readers with an understanding of the upcoming elections and current legislative & regulatory agenda that will 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, legislative, & regulatory actions, including four 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, including:

  • Federal Reserve
  • Federal Deposit Insurance Corporation
  • Securities & Exchange Commission
  • FINRA
  • Senate
  • Congress
  • States

This research addresses the federal budget, and then outlines the key financial services laws:

  • 1933 Act
  • 1934 Act
  • Investment Advisors Act of 1940
  • Bank Holding Company Act of 1956
  • ERISA
  • Sarbanes Oxley Act of 2002
  • Patriot Act (2008)
  • Dodd Frank Wall Street Reform & Consumer Protection Act (2010)
  • SEC Regulations

This research addresses the upcoming elections, including:

  • Presidents
  • Congress

And the research concludes on eight predictions regarding the legislative & regulatory agenda, including:

  • The Need to Balance the Federal Budget & Increasing Tax Rates
  • Health Care Reform to be Implemented
  • Dodd Frank to be Implemented
  • Government Sponsored Enterprises to be Restructured
  • Investment Management Issues to be Reopened
  • Defined Contribution Plan Reform to be Reopened
  • International Financial Regulations to Stagnate
  • Republicans Opportunity to Expand Congressional Majority & Recapture Presidency in 2016

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