Regulatory Issues
Our nation’s securities markets are the most transparent, liquid, and dynamic in the world. Competition, technological advances, globalization, and broader investor participation have driven phenomenal changes in the capital markets and the securities industry over the past decade. Our markets’ advantages are grounded in their structural framework. SIFMA works with Congress, the SEC, the SROs, and all involved parties to ensure that our markets retain their strength.
See what we're working on, find resources and documents available for these focus areas:
- Agency Lending Disclosure
- Anti-Money Laundering Compliance
- E-Mail & Electronic Records
- Fee-Based Accounts
- Gramm-Leach-Bliley
- Hedge Funds
- Market Structure - Regulation NMS
- Options Markets
- Outsourcing
- Privacy and Data Protection
- Regulatory Consolidation - SRO Reform (FINRA Resource Center)
- Riders Resolution Authority - August 2009
- Resolution Authority for Large, Interconnected Financial Companies Act of 2009 - July 2009
- Resolution Authority for Large, Interconnected Financial Companies Act of 2009, Blackline comparison
- Comments on Resolution Authority - August 2009
- SIFMA Proposed Resolution Authority Issues Outline - August 2009
Just Posted: SIFMA Paper on Displayed and Non-Displayed Liquidity In this regard, please contact the following SIFMA staff members if further information or assistance from SIFMA or its member firms would be helpful:
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