*Letters

Draft SEC Strategic Plan for FY2014-FY2018

Published on:
March 10, 2014
Issue:
Committee:

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the SEC’s draft Strategic Plan: Fiscal Years 2014-2018.

SIFMA has identified issues critical to its members that fall within one or more of the SEC’s strategic goals and underlying objectives and therefore should be addressed directly in the Draft Plan, including:

  • implementing a uniform fiduciary standard;
  • addressing qualitative factors in addition to quantitative factors and economic impacts in cost-benefit analysis; and 
  • coordinating the SEC’s Section 913 efforts with the Department of Labor (DOL) and avoid conflicting and unnecessary DOL regulation regarding fiduciary obligations.

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