PublicationsInsights on Current Policy Issues

  • April 8, 2014
    On Tuesday, April 8, 2014, David Franasiak gave a presentation at the meeting of the International Stock Exchange Executives Emeriti, Inc. (ISEEE) and ISEEE Capital Markets Development Workshop as part of a panel discussion on “Recent Regulatory Actions and Proposals Affecting the Exchanges and Capital Markets and the Issues Raised”. 
     

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  • March 28, 2014
    By David E. Franasiak, Joel Oswald, Eric Robins and Rebecca Konst.

    With the enactment of the Dodd-Frank Act in 2010, the responsibilities of the Securities and Exchange Commission (SEC) have grown. New or expanded areas of SEC regulatory authority include the regulation of securities-based swaps, increased corporate governance and disclosure requirements, registration of certain private funds, registration of municipal financial advisers and swap advisers, the Volcker Rule prohibitions, additional regulations for credit rating agencies, and securitization requirements. The SEC’s Fiscal Year 2015 budget request is $1.7 billion, an increase of 26 percent from the FY 2014 enacted amount of $1.35 billion. The SEC budget, which is appropriated to the SEC by Congress, is entirely funded through the collection of securities transaction (options and equity transaction) fees, known as Section 31 fees.  The Section 31 fee fluctuates, reflecting the combination of changes in dollar volume trading and the SEC funding levels as set by Congress through annual appropriations bills. 

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  • March 13, 2014
    By George Olsen.

    This detailed summary of the health care provisions in President Obama’s FY2015 budget request spans all federal agencies including the Departments of Defense, Health and Human Services, Homeland Security, Treasury, Labor, Justice, and Veterans’ Affairs, as well as the Environmental Protection Agency and the National Science Foundation.


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PublicationsInsights on Current Policy Issues

  • April 8, 2014
    On Tuesday, April 8, 2014, David Franasiak gave a presentation at the meeting of the International Stock Exchange Executives Emeriti, Inc. (ISEEE) and ISEEE Capital Markets Development Workshop as part of a panel discussion on “Recent Regulatory Actions and Proposals Affecting the Exchanges and Capital Markets and the Issues Raised”. 
     

    Read...
    Read More
  • March 28, 2014
    By David E. Franasiak, Joel Oswald, Eric Robins and Rebecca Konst.

    With the enactment of the Dodd-Frank Act in 2010, the responsibilities of the Securities and Exchange Commission (SEC) have grown. New or expanded areas of SEC regulatory authority include the regulation of securities-based swaps, increased corporate governance and disclosure requirements, registration of certain private funds, registration of municipal financial advisers and swap advisers, the Volcker Rule prohibitions, additional regulations for credit rating agencies, and securitization requirements. The SEC’s Fiscal Year 2015 budget request is $1.7 billion, an increase of 26 percent from the FY 2014 enacted amount of $1.35 billion. The SEC budget, which is appropriated to the SEC by Congress, is entirely funded through the collection of securities transaction (options and equity transaction) fees, known as Section 31 fees.  The Section 31 fee fluctuates, reflecting the combination of changes in dollar volume trading and the SEC funding levels as set by Congress through annual appropriations bills. 

    Read...
    Read More
  • March 13, 2014
    By George Olsen.

    This detailed summary of the health care provisions in President Obama’s FY2015 budget request spans all federal agencies including the Departments of Defense, Health and Human Services, Homeland Security, Treasury, Labor, Justice, and Veterans’ Affairs, as well as the Environmental Protection Agency and the National Science Foundation.


    Read...
    Read More

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