Pennsylvania + Wall


Pennsylvania + Wall provides commentary on a broad range of current financial, economic and regulatory reform topics. The views expressed are those of the authors, and do not necessarily reflect the position of SIFMA.

September 23, 2013

Ending mandatory arbitration will hurt individual investors

By Kevin Carroll

Kevin CarollThe following oped appeared in Investment News.

The Investor Choice Act of 2013 is the latest in a series of attacks on securities arbitration at the state and federal level. Introduced last month, the bill would ban broker-dealers and investment advisers from specifying in their agreements with clients how future disputes between them should be resolved, whether by arbitration or in court..... Read more...

September 16, 2013

Investors First: A Fiduciary Standard for Brokers

By Ira Hammerman

DOL, Fiduciary, ERISA, RetirementInvestors’ best interests should be put first by their financial advisor. SIFMA has long supported a uniform fiduciary standard of conduct that would hold both broker-dealers and investment advisers to the same robust standard when providing personalized advice about securities to their individual retail clients. Recent commentary that suggests SIFMA supports anything less is simply not accurate. .... Read more...

September 11, 2013

Helping Americans Succeed, Helping Main Street Prosper

By: Senator Judd Gregg

Judd GreggIn the five years since the global financial crisis there has been dramatic change in the structure and regulation of America's financial and capital markets directed at having a stronger and better capitalized banking sector.

One thing that has not changed is that the American economy is a market economy. We are a nation that has produced unequalled prosperity as a result of having a single, integrated and inter-dependent market system. It is a system built by hard-working people willing to take risks, every day, based on a belief their hard work and good ideas will win out. These folks are backed by other people willing to fund that belief. .... Read more...



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