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Private Client Group: Provide focus to the private client groups in their dealings with individual investors both US and globally

PCG's Mission

To discuss and debate all private client related issues within SIFMA to:  a) develop uniform – or consensus - Board opinion, b) speak publicly on private client issues, and c) confer with the Chairs of the SIFMA Committees in the private client space to ensure that Board objectives are being met by the working Committees, and that concerns of the working Committees are communicated to the Board and acted upon, where appropriate.

View the PCG's Steering Committee Roster

Committees:

• Private Client Services (formerly Sales and Marketing)
• Independent Firms
• Regional Firms
• Small Firms

Latest Releases

December 30, 2009
Temporary Rule Regarding Principal Trades with Certain Advisory Clients

December 02, 2009
SIFMA Comments to FINRA Regarding Regulatory Notice 09-55, Communications With the Public

October 6, 2009
Testimony of John Taft, Head of U.S. Wealth Management, RBC Wealth Management, and Chairman of the Private Client Group Steering Committee of the Securities Industry and Financial Markets Association before the U.S. House of Representatives Committee on Financial Services

October 2, 2009
SIFMA Comments on Release No. 34-60624; File No. SR-FINRA-2009-057;  Proposed Rule Change Relating to Increase the Personnel Assessment and Gross Income Assessment Paid by Member Firms

September 23, 2009
Testimony of E. John Moloney President and CEO Moloney Securities Company, Inc. Chairman Small Firms Committee Securities Industry and Financial Markets Association Before the House Committee on Small Business

>> Find More News Items . . .

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