SIFMA SPOTLIGHT
![]() | Regulatory Action Database: Dodd-Frank Wall Street Reform and Consumer Protection ActSIFMA 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, AdvisersOn August 30th, 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 BriefsOn 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 CNBCSIFMA’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 BriefSIFMA 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 BoxJohn 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. |
SIFMA NEWS
- SIFMA Submits Comments to SEC on Obligations of Brokers and Advisers
August 30, 2010 - Market Close Recommendations for UK Summer Bank and US Labor Day Holidays
August 19, 2010 - Ryan Statement in Response to Secretary Geithner’s Speech on Financial Reform
August 02, 2010 - SIFMA Supports SEC Rules to Increase Transparency and Revitalize Securitization
August 02, 2010 - Vickie Alvo Joins SIFMA as Professional Societies Business Manager
August 02, 2010 - SIFMA Survey Expects Total Net Treasury Issuance Increase as Economic Recovery Slows
July 29, 2010 - SIFMA Supports the Creation of a U.S. Covered Bond Market
July 29, 2010 - SIFMA Foundation’s InvestWrite® Winners Out-Write the Competition
July 26, 2010 - View All
SIFMA EVENTS
- Internal Auditors Society Education Seminar: Effective Report WritingSeptember 13
- CAT Fall Educational SeminarSeptember 15
- Compliance and Legal Society Breakfast MeetingSeptember 16
- Credit & Margin Monthly Dinner Meeting: Current & Emerging Trends Affecting Margin Best PracticesSeptember 16
- CAS Cost Basis Regulations SeminarSeptember 17
- View All







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