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U.S. Banker February 2011 Alan Kline	One Senator's Plan For Cutting Red Tape It's not getting much attention, but Virginia Sen. Mark Warner's proposal for easing the regulatory burden on U.S. businesses might be one of the most intriguing ideas coming out of Washington these days.
Reason January 2009 Veronique de Rugy	Bush's Regulatory Kiss-Off Obama's assertions to the contrary, the 43rd president was the biggest regulator since Nixon.
U.S. Banker March 2009 Joseph Rosta	Regulation Redux After years of tracking, report writing, report filing, documentation, and general paper churning, the Age of Re-regulation is nigh for the financial sector.
Registered Rep. December 14, 2005 David A. Geracioti	NYSE Regulators to Member Firms and Reps: We Are Watching You Broker/dealers had a very strong 2005. But so too did the regulators.
Financial Planning June 1, 2009 Bob Veres	The Schapiro Doctrine There are some problems with Mary Shapiro's plan to bring financial advisors and brokers under the same regulatory system.
IndustryWeek March 16, 2011	EHS Regulatory Pressures Rise For global manufacturers, avoiding environmental, health and safety regulations is not quite as simple as picking up and moving operations to a new location. Every single product is regulated in at least one country.
Bank Director 4th Quarter 2009 William M. Aukamp	Some Thoughts on Regulatory Reform Before creating a new agency, Congress should be mindful of the already-heavy compliance burden born by banks.
CFO January 1, 2002 Stephen Barr	A Graham of Prevention The Bush Administration has changed its tactics for ridding business of regulations deemed undesirable. Meet the man who's now in charge.
Investment Advisor July 2008 Marlene Y. Satter	One Forward, Two Back? The Department of the Treasury released its Blueprint for a Modernized Financial Regulatory Structure, which sets forth an argument for the need for change in the financial services industry.
HBS Working Knowledge April 23, 2008 Dwight Crane	The Gap in the U.S. Treasury Recommendations U.S. Treasury recommendations for strengthening the regulation of the financial system are a good start but fall short, says Harvard Business School professor emeritus Dwight B. Crane.
BusinessWeek November 1, 2004 Brady & Borrus	A Crazy Quilt Of Rules Why insurance regulations need national standards.
On Wall Street August 1, 2012 Donna Borak	Dodd-Frank Reforms Inch Along In the first year after passage of the Dodd-Frank Act, regulators made some progress implementing the law. Now they have essentially ground to a halt.
OCC Bulletin June 5, 2003	International Activities of National Banks; U.S. Activities of Federal Branches and Agencies of Foreign Banks Notice of proposed rule making rules, policies, and procedures for corporate activities; international banking activities
U.S. Banker August 2010 Mark W. Olson	Endangered Species: The State Banking Charter Should state legislatures continue to see value in funding their state bank regulators, the charter in those states would continue to have viability.
The Motley Fool October 22, 2009 Dayana Yochim	Report From the White House: Wimpy Regulators and Red Tape The final installment of our interview with Austan Goolsbee, chief economist for the President's Economic Recovery Advisory Board.
BusinessWeek March 24, 2011 Paul M. Barrett	REINS Act: Hogtie the Executive Branch! The Republicans' latest attempt to impede federal regulators is cloaked in sensible-sounding rhetoric.
Registered Rep. January 1, 2006	60 Seconds With...Grace Vogel An interview with the executive vice president of Member Firm Regulation for New York Stock Exchange Regulation about regulatory duplication and the NYSE's enforcement record.
Registered Rep. August 21, 2006 Kristen French	NYSE and NASD Hold Merger Talks It is not yet clear whether a deal will actually go through, or whether the financial regulators would merge their arbitration systems or keep them separate.
Bank Systems & Technology November 11, 2009 Maria Bruno-Britz	Banking Groups React to Sen. Dodd's Draft Regulatory Legislation With a Big 'No' Although organizations approve of the Senate's efforts, they say it goes too far in undermining those aspects of financial services that actually work.
Bank Systems & Technology January 6, 2009 Maria Bruno-Britz	Banks to Face Greater Scrutiny in 2009 Banks will experience greater oversight as the new administration seeks to help the finance sector recover.
Investment Advisor January 1, 2011 John Sullivan	State of Regulation: A Conversation with FSI's Dale Brown The Financial Services Institute will branch out to help advisors with small business issues.
The Motley Fool June 3, 2010 Jim Mueller	We Reap What We Sow Is there a way around agency capture? Will we learn from letting Big Oil get too close to its U.S. regulators?
Finance & Development June 2010 Per Kurowski	Letters to the Editor No reform can serve its purpose if it does not understand what is really wrong with the current regulations.
Insurance & Technology July 25, 2005 Katherine Burger	A Matter of Time Federal regulation of the U.S. insurance industry is coming - maybe not this year, or even for a few years, but it is inevitable.
Financial Advisor June 2004 Tracey Longo	Compliance Overload A white-hot regulatory agenda is bedeviling independent broker-dealers in the U.S.
Global Services November 29, 2007	The Future of Regulation Whether offshore or onshore, the confluence of increased regulations and increased outsourcing will result in increasingly intense scrutiny by regulators of outsourcing relationships.
Registered Rep. March 6, 2009 David A. Geracioti	Gadfly to FINRA: "Better," "Fairer" Regulation Please FINRA is challenged to a meeting to discuss restoring the partnership between the regulator and the regulated.
The Motley Fool November 5, 2009 Rick Aristotle Munarriz	Even Regulators Play Games in China Competitive gaming is huge in China, where the booming country's youth play immersive online fantasy games. That spunk and spirit, apparently, can also be found in its regulators.
Finance & Development December 1, 2002 Das et al.	Financial Regulators Need Independence Granting more operational autonomy to the agencies that keep an eye on the financial sector can bolster financial stability.
The Motley Fool August 23, 2010 Ilan Moscovitz	Treasury on Regulatory Failure and "Too Big to Fail" The Treasury Department answers questions on the new regulations and big banking. Part two of a three-part interview.
On Wall Street February 1, 2012 Joe Adler	Hill's Focus on Volcker Rule Just Starting The Volcker Rule is shaping up to be a case study of lawmakers continuing to sound off on an issue that is technically no longer under their purview.
The Motley Fool June 29, 2010 Alex Dumortier	Are Banks Finally a Good Buy? There are decent odds that some banks will outperform the broader market over the next two to three years -- but don't expect a smooth ride.
Reason October 2007 Jonathan Rauch	Flying Blind in a Red-Tape Blizzard How George W. Bush became the regulator in chief.
BusinessWeek January 15, 2009 Carey & Francis	A New Era of Regulation New government controls across a wide swath of industries are on the way.
Bank Systems & Technology June 18, 2009 Katherine Burger	Can Trust Be Rebuilt in the Financial Services Industry? The Obama Administration's new proposals for financial services regulation aim to rebuild trust within the industry, and between banks and the public. That may be easier said than done.
The Motley Fool September 8, 2006 Richard Gibbons	Regulation Is Great! Buying the strongest businesses during a panic over new laws can be lucrative.
U.S. Banker October 2007 Karen Krebsbach	Doing the Regulatory Revamp Dance America's bank-regulatory system is once again under the microscope, but for the first time in decades, it is under serious consideration for reorganization.
U.S. Banker June 2011 Laura Marquez-Garrett	Out-of-State Customers Bring Increased Risk As state regulators push to expand the reach of their consumer protection laws, financial service providers who do business with customers from other states face increasing risk.
Registered Rep. May 14, 2007 Kevin Burke	NASD Chair Sees Better Oversight of New Products Mary Shapiro told mutual fund executives she sees better regulation of investment products as a result of a merged NYSE and NASD. While this may be better news for investors, purveyors of mutual funds may find themselves in the crosshairs.
U.S. Banker July 2008 Michael Sisk	A `Radical' Answer to Credit-Ratings Conflict The government should remove itself completely from the credit-rating business, stop deciding which company can and can't rate a bond, and stop making institutions pay attention to rating agencies whose work may be shoddy - and, it often turns out, is.
Geotimes November 2003 Megan Sever	Government peer review The federal government recently proposed extensive new peer-review procedures for scientific reports from regulatory agencies. While some agencies already practice peer review with their documents, these, the first government-wide mandated standards, have some people crying foul.
Investment Advisor September 2010 Thomas D. Giachetti	The Compliance Coach: Will the SEC Ever Learn? Don't Count On It Get ready for new custody and ADV rules, and the $100 million threshold.
U.S. Banker November 2009 Kaper & Hopkins	Dodd's Power of Persuasion Facing long odds, the Banking Committee Chairman builds support for a plan to create a prudential regulator. But would a single agency kill the dual banking system?
Bank Systems & Technology November 5, 2008 Maria Bruno-Britz	A Long Road Ahead for FIs as New Administration Takes Shape Some prognosticating as to what the financial services industry should expect in the coming four years.
Insurance & Technology March 17, 2009 Anthony O'Donnell	Senate Banking Committee Hears Divergent Testimony from P&C, Life Industry Representatives Frank Keating of the American Council of Life Insurers argued the need for a federal insurance regulator, while John T. Hill of the National Association of Mutual Insurance Companies said his organization supported a reformed state-based system.
Bank Director 2nd Quarter 2010 Eugene A. Ludwig	Discerning the New Financial Services Landscape The former U.S. Comptroller of the Currency and vice chairman of Bankers Trust/Deutsche Bank, offers his views on what is likely to come out of upcoming reform legislation as well as areas that are far from clear.
Registered Rep. July 25, 2007 Kevin Burke	Smith Barney Fined $50 Million for Market Timing; More Firms, Reps To Be Fined So you thought the market timing scandal was over? Think again.
Investment Advisor October 2008	Catching up with... Dick Averitt A short conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services.
BusinessWeek November 29, 2004 Amy Borrus	Rating Agencies Get A Credit Check The SEC and European regulators are debating new rules for the U.S.-led credit rating industry. The commission probably will ask Congress for authority to require rating agencies to open their books and records to the SEC.
On Wall Street March 1, 2010	Five Questions with Timothy Ryan Jr. Ryan held senior positions in the industry, from the vice chairman level at JPMorgan to Director of the Office of Thrift Supervision, where he helped in the S&L cleanup. He talks about today's regulatory needs.