The Small, Generalist Broker-Dealer: R.I.P.? Who Will Survive
Led by the strictures of Dodd-Frank, higher costs and tougher regulation are already putting smaller, undifferentiated BDs into trouble.
Financial execs voice compliance concerns
Regulatory burdens caused 50 percent to report a loss of focus from core business and 34 percent expect lower returns for shareholders.
State insurance concerns bubble up to federal level
The OFR report zeroes in on captives, one of the perceived weaknesses of state regulation seen by Treasury.
Charges of NAIC corporate governance problems erupt
Monday's NAIC Executive Committee meeting erupted into a biting referendum on the NAIC itself after Conn. Insurance Commissioner Tom Leonardi sent a bold letter to fellow commissioners.
FIO Modernization report: It's out, but where is it going?
The FIO modernization report and responses straddle the federal-state fence.
BlackRock, Fidelity face initial risk study by regulators
U.S. regulators are in the early stages of reviewing whether asset managers pose a potential risk to the financial system.
Neugebauer demands word on overdue FIO reports
A letter from the Subcommittee on Housing and Insurance brings the much-anticipated FIO modernization report into view again.
FIO zeros in on captives
Sen. Nelson says the NAIC is diligently working on closing the gap in state regulation over captives.
Dodd-Frank: A Guide
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010: The Insurance Provisions
McRaith: FIO reports will be out by July
FIO Director Michael McRaith said all long-awaited reports would be released by July.