Securities Industry And Financial Markets Association (SIFMA)

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  1. Articles

    Washington latest state to encourage workplace retirement plans

    Creates website to match small employers with private-sector retirement plans

  2. Articles

    Financial industry asks DOL for more time on fiduciary rule

    Groups say they need an extra 45 days above the 75-day comment period to respond.

  1. Articles

    Merrill Lynch's John Thiel urges colleagues to work with DOL on fiduciary rule

    At least one major industry player is taking a more welcoming stance toward working with the Labor Department as it seeks to create a rule that would hold brokers to a fiduciary standard when dealing with retirement plans.

  2. Articles

    SIFMA criticizes White House for ignoring existing regulations while pushing for DOL fiduciary rule

    Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.

  3. Articles

    SEC fiduciary push gives momentum to third-party exams

    SEC Chairwoman Mary Jo White jump-started a controversial move to expand the agency's coverage of registered investment advisers: farming out exams to the private sector.

  4. Articles

    Republican introduces bill to halt Obama's DOL fiduciary push

    Rep. Ann Wagner says proponents are 'offering a solution in search of a problem.'

  5. Articles

    DOL fiduciary rule stalls again as brokerage industry makes last-minute push against it

    The Labor Department's proposal to impose a fiduciary standard on retirement advisers has stalled as the brokerage industry makes one more, eleventh-hour bid to change it.

  6. 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.

  7. 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.

  8. 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.)

  9. 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.

  10. 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.

  11. Articles

    SEC keeps fiduciary promises vague for 2015

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

  12. 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.

  13. 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 ...