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On July 6, the U.S. House Committee on Financial Services announced the following schedule for the month of July 2022. Notably, the schedule features a rare subcommittee hearing on oversight of [...]

In short, despite significant increases in the SEC’s workload and responsibilities over recent years, the agency’s resources have failed to keep pace with its responsibilities. In the absence [...]

“The undersigned comprise a coalition of stakeholders who each represent and advocate for retail investor rights. Our coalition is concerned about the lack of transparency in how mandatory [...]

Coalition Letter to SEC Chair Re RIA Forced Arbitration – May 17 2022

This evening, the U.S. House considered a slate of financial services committee bills on an expedited basis, via the House Suspension Calendar.  The legislation approved in the House today [...]

In much the same way that advances in technology have made more complex products available in the marketplace, advances in technology have also enabled broker-dealers to employ new tools to [...]

The LXR Group's Biweekly Bulletin on Capital Markets and Financial Services Policy provides a comprehensive snapshot of the key developments in financial services legislative and regulatory [...]