Elections, Legislation, & Regulations:
Continuation of Mixed Government

Recently Released!!!
Date Published: February 5, 2019
Summary PowerPoint Deck: 85 Slides

Reference PowerPoint Deck: 406 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 Legislative & Regulatory Environment
  • Financial Advisor Legislative & Regulatory Issues: The Best Interest Standard & Other Issues
  • Financial Institutions Laws to be Relaxed
  • Democrats to Retain House But Republicans to Retain Senate & Presidency in 2020
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