Spotlight

SIFMA Submits Comments to DOL in Support of 60-Day Fiduciary Rule Delay

SIFMA SPOTLIGHT

"The delay will allow the new administration an opportunity to review the rule's impact on investors and the market, while providing firms additional time to prepare for potential changes to the rule."



DOL Pending Fiduciary Rule Remains Flawed, Negatively Impacting the Marketplace

SIFMA SPOTLIGHT

Op-Ed by Kenneth E. Bentsen, Jr, SIFMA president and CEO, published in The Hill.

 

 

 

 

 

 

 

 

SIFMA Commends Presidential Action to Review Regulatory Framework

SIFMA SPOTLIGHT

SIFMA statement on President Trump's executive order calling for review of the nation’s financial regulatory framework and its impact on the markets and the economy.



 

 

 

2016: The Year in Review

SIFMA SPOTLIGHT

Capital markets recognize the best ideas and enterprises and propel them forward.This retrospective chronicles our members’ work advocating for their effectiveness and efficiency over the past year.

 


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Industry Basics

How is the U.S. Financial Industry Regulated?

The financial regulatory system has federal, state, and private institutions. Generally, federal regulators deal with national issues and state regulators operate in their jurisdictions.


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