Carolyn McCarthy

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  Insurers embrace bill to tailor proposed Fed capital rules

  By Elizabeth D. Festa  |  May 24, 2013

  The legislation would offer relief from the Fed's proposed capital standards for insurers and other nonbanks.

• Waters Tries to Ice SRO Bill

  By Arthur D. Postal  |  July 1, 2012

  Legislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.

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  Waters Tries to Ice SRO Bill

  By Arthur D. Postal  |  June 14, 2012

  Legislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.

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  SRO Hearing in the House

  By Arthur D. Postal  |  June 6, 2012

  Broad fissures within the investment advisory community over how the industry should be regulated going forward were exposed today at a House hearing.

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  The GAO Chimes in on the SEC and Self-Regulatory Organizations

  By Arthur D. Postal  |  May 31, 2012

  Serious questions are being raised about the effectiveness of the Financial Industry Regulatory Authority (FINRA) and whether the Securities and Exchange Commission (SEC) spends enough time overseeing this self-regulatory agency.

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  POGO Assails House Financial Services Committee's SRO Bill

  By Arthur D. Postal  |  May 30, 2012

  In a letter to the chairman and ranking minority member of the House Financial Services Committee, the Project On Government Oversight raised “serious concerns” about H.R. 4624, a bill that would authorize one or more SROs to oversee the investment advisor industry.

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  Bill Introduced to Make FINRA Self-Regulating

  By Arthur D. Postal  |  April 25, 2012

  Legislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.

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  Dems Laud DOL on Fiduciary Rule

  By Arthur D. Postal  |  November 9, 2011

  Democrats expressed their delight with a decision by the Department of Labor to withdraw a proposed rule defining the term fiduciary.