Posts Tagged ‘Dodd Frank Wall Street reform and Consumer Protection Act’
Posted by Larry Doyle on January 24th, 2011 7:00 AM |
“Who will protect me?”
How many investors in our nation continue to ask that question?
A lot!!
Throughout the crisis of the past few years and certainly well beyond that, investors have come to appreciate that they really need to learn to protect themselves. Why is that? We have rampant evidence that neither Wall Street nor the financial regulators overseeing Wall Street have truly protected investors. So now what? (more…)
Tags: a low opinion of finra, Dodd Frank Wall Street reform and Consumer Protection Act, Dodd-Frank, fiduciary vs suitability, Financial Advisor, Financial Industry Regulatory Authority, financial planning, financial regulators, financial regulatory system, formation of FINRA, Global Economic Intersection, Investment Advisors Act of 1940, investor protection, John Lounsbury, Kathleen Casey and Troy Paredes, Larry Doyle, No Quarter Radio, oversight of registered investment advisers, oversight of RIAs, questions for FINRA, SEC vs FINRA, self regulatory oversight for Wall Street, Sense on Cents, Wall Street oversight, Wall Street regulation, what is an RIA, what is an SRO, who protects investors, who will regulate RIAs
Posted in FINRA, General | 1 Comment »
Posted by Larry Doyle on September 18th, 2010 12:14 PM |
LD’s edit: Thank you to a Sense on Cents reader, Transparency, for informing us that Senate Judiciary Committee Approves Bill To Repeal SEC FOIA Exemptions.
Thanks to a loyal reader of Sense on Cents for sharing this press release put forth earlier this week. Not that the Republican Party does not have a LOT to answer for in terms of the final Financial Regulatory Reform, but at least on this front, I commend Darrell Issa (R-CA) for introducing this legislation.
Issa Introduces the SEC Freedom of Information Restoration Act
President Obama at Signing of Financial Reform Bill: “It demands accountability and responsibility from everyone…It demands accountability and responsibility from everyone…And we all win when folks are rewarded based on how well they perform, not how well they evade accountability.” (more…)
Tags: Aaron Schock, Allen Stanford, Angela Canterbury, Barack Obama, Bernie Madoff, Bill Shuster, blaine leutkemeyer, Brian Bilbray, Dan Burton, Darrell Issa, Dodd Frank Wall Street reform and Consumer Protection Act, finreg, FOIA, Freedom of Information Restoration Act, Gary Aguirre, Issa Introduces the SEC Freedom of Information Restoration Act, jason Chaffetz, Jeff Fortenberry, jim jordan republican of ohio, John Duncan, John Mica, oversight and government reform committee, Patrick McHenry, rule 9291, sec failures in madoff and stanford scams, section 9291, Spencer Bachus, Wall Street-Washington incest
Posted in General | 4 Comments »
Posted by Larry Doyle on July 30th, 2010 4:08 PM |
Earlier this week, the SEC informed Fox Business News that it would not comply with a request for information based upon SEC Financial Regulatory Law H.R. 4173. Fortunately, some people in our country still care about transparency, accountability, and integrity. To this end, thank you to a friend of Sense on Cents for sharing this recent release:
It brings the SEC back under the Freedom of Information (FOIA) Act after the Dodd-Frank financial reg bill provided them with an exemption.
ISSA INTRODUCES THE SEC FREEDOM OF INFORMATION RESTORATION ACT (more…)
Tags: Aaron Schock, Allen Stanford fraud, Bernie Madoff Ponzi scheme, Bill Shuster, Blaine Luetkemeyer, Brian Bilbray, Dan Burton, Dodd Frank Wall Street reform and Consumer Protection Act, FOIA, Fox Business News, freedom of information act, House Committe on Oversight and Government Reform, HR 5924, Issa Introduces SEC FOIA, jason Chaffetz, Jeff Fortenberry, Jim Jordan, John Duncan, John Mica, Patrick McHenry, section 9291, Spencer Bachus
Posted in General, SEC | 3 Comments »
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