In the News
Elizabeth Warren’s Call for More SEC Regulations Will Harm Individual Investors
Click here to view the Townhall piece. The wolves of Wall Street have evolved and now some reside on Main Street. GameStop’s market rally saw wide price swings in the stock with some brokerage services prohibiting investors’ ability to purchase shares. Democrats have called for more regulations from…
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Appeals Court Upholds SEC Regulation Best Interest
Retail investors received a major win June 26, 2020 as the Second Circuit Court of Appeals upheld the SEC’s Regulation Best Interest, just days before the June 30, 2020 compliance date. Reg BI establishes a “best interest” standard of conduct for broker-dealers when making recommendations to retail customers, replacing…
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Public Pension Funds Gamble Retirement Savings Through Robo-Voting
By Prateek Patel April 29, 2020 Click here to view the Morning Consult piece Many Americans are finding it challenging to watch carefully planned retirement investments adjust daily as a result of the coronavirus emergency and uncertainty in the current economic environment. For public-sector employees, like policemen, firefighters, or…
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SEC Proposal Strikes at Crucial Middle Class Investments
By Christina Mitsopoulos March 26, 2020 Click here to view the Morning Consult piece The Securities and Exchange Commission (SEC) is sitting on a proposal that would render a class of investment products unavailable for all but the uber-wealthy. Nestled in the release is a troubling pair of “sales practices…
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Financial Transactions Tax plan would hit retirement savers hard
By Ryan Goff Analysis/Opinion: Click here to view the The Washington Times piece. Retirement savers, small scale investors and startups: These are the people who stand to lose the most with a Financial Transactions Tax. The tax would directly reduce household savings for retirement and education, shut off a…
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California Confronts the Cost of Politically-Driven Divestments
Ryan Goff | Posted: Oct 15, 2019 12:01 AM Share Click here to view the Townhall piece. In a critical moment, pensioners in the California Public Employees’ Retirement System wait to see if politicians want to throw away money after the bill that bans the use of private prisons…
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SEC Could Reshape How Shareholders, Businesses Communicate … for the Better
By Amanda Panchery August 23, 2019 Click here to view the Morning Consult piece The Securities and Exchange Commission is considering amending some of its regulations relating to shareholder proposals, which have not been amended in over a decade. In May, the SEC released its spring 2019 rule-making agenda,…
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ESG is Lobbyists’ New Buzzword as Dems Mull Mandated Reporting
Environmental, social, and governance issues get more attention from lobbyistsUptick comes as Democrats in House float bills to mandate ESG reporting By Andrea Vittorio and Andrew Ramonas | August 5, 2019 6:28AM ET Companies’ approach to environmental, social, and governance issues is getting more attention from lobbyists as Democratic…