Securities Industry And Financial Markets Association (SIFMA)

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  1. Articles

    Institute for Fiduciary Standard draws SIFMA fire for best practices plan

    Group's 11-point guide seeks to get advisers on the same page without waiting for government rules.

  2. Articles

    Brokers under White House scrutiny for costing workers billions in retirement savings

    New government research says some broker practices are costing investors $8 billion to $17 billion a year, and the White House may now support tighter oversight of brokers who handle retirement accounts.

  1. Articles

    In Obama's State of the Union, advisers see a 'provocative' call to tax wealthy

    When the president delivers his State of the Union address tonight, he will make proposals that could change the basic assumptions advisers rely on for wealthy clients. (See also: 13 crucial state tax changes.)

  2. Articles

    SIFMA says Sony hack is cautionary tale for CARDS

    The recent cyberattack on Sony Pictures Entertainment holds lessons for Finra's pending data-collection proposal, SIFMA executive argues.

  3. Articles

    SIFMA invokes fear of cyberterrorists in plea to fold CARDS

    Major Wall Street interest group cites cost, regulatory creep and impact on civil liberties in attack on Finra's data-gathering proposal.

  4. Articles

    SEC keeps fiduciary promises vague for 2015

    Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

  5. Articles

    Finra expected to adopt CARDS despite vocal industry resistance

    Opponents like SIFMA and FSI remain wary of the potential costs, customer data security, but Finra asserts that CARDS will help investors.

  6. Articles

    SIFMA plans to step up opposition to DOL fiduciary-duty rule

    Wall Street resistance has helped slow down a pending Department of Labor rule to strengthen standards for advisers to retirement plans. With a re-proposal slated for January, the Securities Industry and Financial Markets Association is urging more of its firms to contact Congress to oppose the ...

  7. Articles

    Who's spending what on political candidates?

    With Senate control at stake in tomorrow's election, interest groups representing the brokerage and insurance industries are spending substantially more than financial adviser groups, and are adding to their lead.

  8. Articles

    New inflation data could drive the Fed into hawkish mode

    On the Breakfast with Benjamin menu: Inflation data could turn doves into hawks. Plus: Oil could get a lot pricier in a hurry, insider trading runs rampant and SIFMA cuts its economic outlook.

  9. Articles

    SIFMA's Gregg optimistic that default can be avoided

    The former Senator and Governor is optimistic that Washington can cut a deal

  10. Articles

    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.

  11. Articles

    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.

  12. Articles

    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

  13. Articles

    Take two for Finra on advance-notice rule

    Plans to reissue a package of controversial membership rules regarding alerts on business changes