SIFMA’s Regional Firms Group represents wealth management professionals at regional firms.
The Regional Firms Group (RFG) is committed to providing proactive guidance and recommendations to enhance investor trust and confidence in the securities industry and to provide regulators and policy makers with a business perspective on legislative and regulatory proposals affecting individual investors.
Regional Equity Capital Markets Regulatory and Legislative Committee
Objective: Provide regional firm’s equity capital markets business people with quarterly updates on regulatory or legislative issues affect middle market capital formation and servers as a sounding board for regulatory issues that the business people are interested in.
Regional Firms Committee
Objective: Represent the interests of full-service firms that have an integrated business model that includes private client/wealth management, investment banking and capital markets business lines. Provide information sharing opportunities for CEOs and legal and compliance professionals in the regional firm segment.
Roundtables of the Regional Firms Group
Large Regional Firms Private Client Managers’ Regional Equity Capital Markets Roundtable Regional Firms CFO Roundtable Regional Firms Chief Risk Officers Roundtable Regional Firms Head of Fixed Income Roundtable Regional Firm Head of Munis Roundtable Regional Firms Tax Directors Roundtable Regional Firms Operations Roundtable Small Regional Firms Private Client Managers’
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Regional Firms Group,