Securities Industry And Financial Markets Association (SIFMA)
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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.
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.
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.)
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.
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.
SEC keeps fiduciary promises vague for 2015
Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.
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.
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 ...
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.
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.
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
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