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Featured Resource

 

SIFMA's Chair Emeritus on Commitment to Diversity

November 10, 2011

SIFMA's Chair Emeritus, John Taft, addresses SIFMA's Diversity Committee, describing RBC Wealth Management's and his own personal commitment to diversity.

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Overview

Learn about SIFMA's HR and Diversity Resources.

 

Diversity Resources

Learn what diversity resources are available to HR and Diversity professionals.

 

Annual Diversity Awards

Annual Diversity Awards are given to member firms who have excelled in promoting diversity programs at their firm.

 

Diversity Teleconferences

SIFMA holds conference calls for members to hear from diversity industry experts.

 

RR Screening Test

Screen potential hires for suitability as a Registered Representative with a screening test.

 
 

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Featured Issues

Dodd-Frank Rulemaking

The Dodd-Frank Act requires an unprecedented two- to five-year rulemaking process where roughly 250 new regulations need to be researched and written by at least a dozen regulatory agencies.

Systemic Risk

Systemic risk generally describes the interdependency of institutions in global financial markets and the domino effect that can arise from correlated risks and the failure of a single or handful of financial institutions. 

Volcker Rule

As part of the Dodd-Frank Act, Congress adopted a ban on proprietary trading and restricted investment in hedge funds and private equity by commercial banks and their affiliates, the so-called “Volcker Rule.”

OTC Derivatives

Derivatives are financial contracts used to manage risk by transferring it from a party that wishes to reduce its exposure to another party that wishes to take on that exposure.

Fiduciary Standard

A fiduciary relationship is generally viewed as the highest standard of customer care available under law.

Housing Finance and Securitization

Overall housing finance reform in the U.S., including the future of the GSEs, will be addressed separately from the Dodd-Frank Act.

Market Data

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