Regulatory Action Database: Dodd-Frank Wall Street Reform and Consumer Protection Act

SIFMA embarks on an unprecedented period of advocating for our members on numerous significant and simultaneous rule-makings. In preparation for this huge undertaking, we have created a database of the expected rule-making agenda. View Database.

SIFMA Supports Uniform Standard of Care for Brokers, Advisers 

On August 30^th, SIFMA submitted comments to the SEC in advance of its study on the obligations of investment advisers and broker dealers. SIFMA believes those who provide personalized investment advice to individual investors should be held to a uniform standard of care. In the letter, SIFMA asks the SEC to provide a clear definition of any uniform standard of care that it adopts to protect investors, and to preserve individual investor choice and access to the advice, services and products they want and deserve.

SIFMA Files Two Amicus Briefs

On Thursday, July 22, SIFMA filed two amicus briefs with federal circuit courts. In Barclays Capital v. TheFlyOnTheWall, SIFMA argued that time-sensitive facts such as buy/sell recommendations from securities firm’s research reports are entitled to protection against immediate republication under the “hot new” misappropriation doctrine. In Gearren v. The McGraw Hill Companies, argues that ERISA plan fiduciaries may not be sued for allowing an ERISA plan to offer employer stock when the plan requires it to do so. To read either amicus brief, click here.

Tim Ryan on CNBC

SIFMA’s President & CEO, Tim Ryan, appeared on CNBC speaking from SIFMA’s Regulatory Reform Summit in NYC July 15th.

View Video and Highlights from SIFMA's Regulatory Reform Summit.

SIFMA files Amicus Brief

SIFMA filed an amicus brief opposing statutory attorney fees in FINRA arbitrations because they increase the cost of securities arbitration to the detriment of the investing public.

SIFMA Chair-Elect on CNBC's Squawk Box

John Taft, SIFMA Chair-Elect and President and Chief Executive Officer of RBC Wealth Management calls in to discuss the new systemic-risk regulator in the financial reform bill  - June 25th on Squawk Box - Watch Now

SIFMA Introduces New Advocacy and Educational Website!

Visit www.investedinamerica.org and www.capitolinterest.org to learn more.

Hear from John Taft, Head of U.S. Wealth Management at RBC Capital Markets and SIFMA Chair-elect, regarding the importance of staying informed as the financial regulatory reform debate progresses in Washington.