The SIFMA Legal Brief & Regulatory Tracker provides a monthly snapshot of pending and recently submitted SIFMA comment letters.
Listed by agency, this report provides a brief description and due date of the comment letter with a link to the regulatory notice. Links to recently submitted full letters and briefs will also be provided.
As of April 2016
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The Dodd-Frank Act requires an unprecedented rulemaking process that has been ongoing for more than five years, where nearly 400 new regulations need to be researched and written by at least a dozen regulatory agencies.
Cybersecurity is a top priority in the financial industry to ensure the security of customer assets and information and the efficient, reliable execution of transactions within markets.
The Department of Labor (DOL) has finalized a change to the definition of fiduciary under the Employee Retirement Income Security Act (ERISA) that expands the scope of those who become fiduciaries.
As investors age, the threat of cognitive decline grows. Recent scientific advancements have shown that financial decision making is often the first cognitive function to decline, and such decline can vary greatly - some investors may be unaffected well into their retirement, while others may face this decline much earlier.
The securities industry completes settlement for equities, as well as corporate and municipal bonds, on the third day after a trade is executed by sending payment for the trade to the seller and the securities to the buyer. This settlement cycle is known as "T+3" – shorthand for "trade date plus three days."
Discover how the financial industry is sparking economic growth and job creation in communities like yours.
From in-school visits to field trip hosting, financial professionals nationwide are committing their time and talent to Invest It Forward.
Learn about the work of more than 10,000 professionals from our 500 member firms who participate in 100 committees and countless working groups to advocate in support of effective and resilient capital markets.