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
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