In this issue we provide you with a look ahead—at upcoming research, the new US Congress, and 2019 policy priorities. We also provide an overview of our key Advocacy principles and issues all of which tangibly demonstrate our commitment to working hard for the investment community and having an impact on behalf of members.
Spring 2018: This report presents our comment letters to regulators regarding capital markets and investment issues and includes our remarks on regulations and regulatory proposals that we deem important. It also provides examples of content that elucidate our position and outlook on these matters.
Capital formation and implications for investors: A combination of readily available private capital in search of higher returns in a low interest rate environment, as well as less capital-intensive new business models, has served to give new businesses more funding options than ever before. At the same time, there is no need to offer regulatory shortcuts to make public markets more attractive to new businesses seeking funding.
Financial Reporting Requirements & Issues
Auditing Requirements & Practices
Investment Products & Services
Financial Market Regulation
- Analyst Ethics
- Analyst Research Process
- Automated Advisors
- Business Continuity Plans for Advisers
- Commission-Based Advice
- Conflicts of Interest
- Credit Rating Agencies (CRAs)
- Elements of Effective Regulation
- Expanded SEC Examination Program for Advisers
- Fiduciary Duty
- Market Rules Covering Individuals, Firms & Trading Markets
- MiFID Conduct-of-Business Rules
- Payment for Investment Research
- Regulatory Capture
- Systemic Risk
Asset Management Firm Issues