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Archives

Home » Archives for May 2022
House Financial Services Committee Announces July 2022 Schedule
By Michael Canning
In Congress, Securities and Exchange Commission
Posted May 31, 2022

House Financial Services Committee Announces July 2022 Schedule

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 [...]

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Fiduciary Coalition Urges Appropriators to Fully Fund SEC’s FY 2023 Budget Request
By Michael Canning
In Regulation Best Interest
Posted May 27, 2022

Fiduciary Coalition Urges Appropriators to Fully Fund SEC’s FY 2023 Budget Request

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 [...]

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Investor Advocates, Labor Organizations, Urge SEC to Scrutinize RIA “Forced Arbitration”
By Michael Canning
In Congress, Securities and Exchange Commission
Posted May 18, 2022

Investor Advocates, Labor Organizations, Urge SEC to Scrutinize RIA “Forced Arbitration”

“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 [...]

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Coalition Letter to SEC Chair Gensler Re RIA Forced Arbitration (May 17 2022)
By Michael Canning
In Public Policies
Posted May 18, 2022

Coalition Letter to SEC Chair Gensler Re RIA Forced Arbitration (May 17 2022)

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

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LXR Group Advisory: Analysis of Key Financial Services Legislation on this Week’s House Suspension Calendar (H.R. 5914 and H.R. 935)
By Michael Canning
In Congress, House Financial Services Committee, Securities and Exchange Commission
Posted May 11, 2022

LXR Group Advisory: Analysis of Key Financial Services Legislation on this Week’s House Suspension Calendar (H.R. 5914 and H.R. 935)

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 [...]

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AARP Urges FINRA to Modernize Rules relating to Complex Products
By Michael Canning
In FINRA, Investor Protection
Posted May 10, 2022

AARP Urges FINRA to Modernize Rules relating to Complex Products

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 [...]

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LXR Group Announces Public Launch of Biweekly Bulletin on Capital Markets & Financial Regulatory Policy
By Michael Canning
In LXR Group Developments
Posted May 6, 2022

LXR Group Announces Public Launch of Biweekly Bulletin on Capital Markets & Financial Regulatory Policy

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 [...]

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  • Senate Banking Continues to Investigate the Crypto Crash, but Next Steps Remain Unclear.
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