Securities Industry And Financial Markets Association (SIFMA)
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SIFMA's Gregg optimistic that default can be avoided
The former Senator and Governor is optimistic that Washington can cut a deal
SIFMA tells SEC that fiduciary standard would cost a bundle
A leading Wall Street trade organization told the Securities and Exchange Commission last week that raising investment advice standards for brokers would force individual firms to spend millions of dollars to upgrade their compliance systems.
SIFMA names high-profile politicians to top posts
One of the leading financial industry trade organizations has hired two former lawmakers for its top executive positions, underscoring the increasing importance of the intersection between Wall Street and Washington.
Mass resignations taking place at SIFMA spin-off
The main trade association for the securitization industry is in turmoil after most of the board resigned in a dispute with the group's executive director over governance and bonuses, according to six people with knowledge of the matter. The exodus at the American Securitization Forum puts the
Take two for Finra on advance-notice rule
Plans to reissue a package of controversial membership rules regarding alerts on business changes
Banks may sue feds over the Volcker rule
With Washington bureaucrats devising all sorts of ways to regulate Wall Street, it is no wonder that there are so many grumpy people at the industry's chief trade group, the Securities Industry and Financial Markets Association.
SIFMA wants SEC to move on fiduciary rule PDQ
Association wants to eliminate uncertainty; Commission currently split along party lines
Bentsen may helm SIFMA permanently
With Wall Street increasingly focused on Washington, the chief lobbyist at an influential financial services organization may extend his interim leadership into a permanent stay.
Ryan departs SIFMA to return to JPMorgan Chase
The chief executive of one of the most influential Wall Street lobbying organizations is departing next month to return to the financial firm that he left to head the group nearly five years ago.T. Timothy Ryan Jr., president and chief executive of the Securities Industry and Financial Markets
SIFMA, fiduciary advocates mix it up at forum
Comments letters to financial regulators about potential new rules can drone on for dozens of pages. It's likely that the vast majority of people who wade through the often dense, soporific prose are those who are paid to read them – in the agencies, media or at advocacy groups.On Tuesday, however,
Social-media seminar offers lessons for firms
Collegial ribbing, good-natured consternation and gentle exasperation. Those were some of the responses I noted last week during exchanges between regulators and the regulated at the social-media seminar hosted by the Securities Industry and Financial Markets Association at its annual Tech Leaders
In re, BrokerCheck: SIFMA urges Finra to expand 'in re expungement
Association wants to make it easier for brokers to clean up their official records
SIFMA on analyst coverage: Wipe out blackouts
Securities association wants SEC, Finra to revisit restrictions on firms' research of smaller IPOs; states oppose the idea
Finra eyes wholesalers' role in vending
Wholesalers, watch out. Finra is taking a clear interest in wholesalers' roles in the sale of products that clients — and sometimes brokers — don't fully understand. The Financial Industry Regulatory Authority Inc.'s concerns about wholesalers include how well-trained the sales force is, what
SIFMA presses for single fiduciary standard for retail stockbrokers
T. Timothy Ryan, president and chief executive of the Securities Industry and Financial Markets Association, said he wants regulators at the Securities and Exchange Commission and the Labor Department to move forward together on creating a single fiduciary standard of care for retail stockbrokers
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February 27, 2014