Recently Released!!!
Date Published: August 23, 2013
Summary Power Point Deck: 39 Slides
Reference Power Point Deck: 374 Slides

The purpose of this research is to provide readers with an initial understanding of the 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 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 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

And the research concludes on nine 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
• Financial Advisor Issues to be Reopened
• Defined Contribution Plan Reform to be Reopened
• International Financial Regulations to Stagnate
• Republicans Opportunity to Expand Congressional Majority in 2014 & Recapture Presidency & Congress in 2016