The Street, The City and The State
The importance of the financial services industry in general, and the securities industry in particular, to NYS and NYC is…
SIFMA Statement on the Proposed Payroll Mobility Tax
New York, NY, June 6, 2024—SIFMA today issued the following statement from Kyle Innes, managing director and associate general counsel,…
Fidelity Policy30: Market Fundamentals and Policy Debates in a Presidential Election Year
In a recent episode of Fidelity's Policy30 podcast, Fidelity's EVP of Corporate Affairs, Katie Fallon moderated a discussion with Kenneth…
Oversight of CFIUS and Other Efforts to Strengthen National Security
House Financial Services Committee Oversight of the Committee on Foreign Investment in the United Stated (CFIUS) and Other Efforts to…
The Growing Importance of Cross-Border Securities Holdings for the US Economy
The liquidity and openness of the U.S. and global financial markets are increasingly important to U.S. economic relationships with the…
SIFMA Appoints Josh Wilsusen Executive Vice President of Advocacy
Washington, D.C., October 21, 2022 – SIFMA today announced Josh Wilsusen has been appointed executive vice president, Advocacy. In this…
Prioritizing Investor Protection and Existing Regulatory Frameworks in Digital Assets Legislation
SIFMA provided comments to the U.S. Congress commending the Senate Banking Committee, Senate Agriculture Committee, House Financial Services Committee, and…
SIFMA Statement on Senate Passage of LIBOR Legislation
Washington, D.C., March 10, 2022 – SIFMA released the following statement from president and CEO Kenneth E. Bentsen, Jr., on…
SIFMA AMG Statement on Impact of Tax Proposals on Middle-class Savers
Washington, D.C., September 17, 2021 – SIFMA AMG today released the following statement from Tim Cameron, SIFMA Managing Director and…
SIFMA Supports Legislation Addressing Transition Away from LIBOR
Washington, D.C., July 28, 2021 – SIFMA sent a letter to House Financial Services Committee Chairwoman Maxine Waters (D-CA) and…
House Financial Services Committee July 2021 Markup
SIFMA provided comments to the House Financial Services Committee in connection with its full committee markup on July 28, 2021.…
SIFMA Issues Whitepaper on Need for Integrating U.S. Financial Services into U.S. International Economic Strategy
Washington, D.C., June 2, 2021 – SIFMA today issued a whitepaper titled “Financial Services and Main Street: Supporting American Economic…
SIFMA Statement on Municipal Bond Provisions in the FY 2022 Budget
Washington, D.C., May 28, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Submits Testimony on Funding America’s Infrastructure
Washington, D.C., May 18, 2021 – SIFMA today submitted testimony for the record of the Senate Finance Committee hearing “Funding…
SIFMA Statement on Reintroduction of the American Infrastructure Bonds Act
Washington, D.C., April 22, 2021 – SIFMA today released the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Welcomes Introduction of the LIFT Act
Washington, D.C., April 16, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Supports Federal Legislation for Transitioning Away from LIBOR
Washington, D.C., April 15, 2021 – SIFMA today expressed its support for federal legislation to assist with the transition from…
SIFMA Statement on Passage of New York State LIBOR Legislation
New York, NY, March 25, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen,…
The Importance of the Independent Contractor Model for Financial Advisors
In this podcast, SIFMA president and CEO Kenneth E. Bentsen, Jr. is joined by Jason Plank, a financial planning professional…
SIFMA Statement on Board Diversity Bill
Washington, D.C., March 22, 2021 – SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and…
SIFMA Statement on Bill Prohibiting the SEC from Requiring Collection of PII Under the CAT
Washington, D.C., March 18, 2021 – SIFMA today released the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Statement on Ranking Member Toomey’s Guiding Principles for Housing Finance Reform
Washington, D.C., March 17, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Statement on the Protecting Retirement Savers and Everyday Investors Act
Washington, D.C., March 3, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Welcomes Introduction of the LOCAL Infrastructure Act
Washington, D.C., February 25, 2021 – SIFMA today issued the following statement from president and CEO Kenneth E. Bentsen, Jr.…
SIFMA Paper Outlines Negative Impact of Stock Transfer Tax on New York Economy
New York, NY, February 23, 2021 – SIFMA today issued a whitepaper titled “Economic Contribution of the New York Financial…
The New York Stock Transfer Tax: Myths & Facts
SIFMA strongly opposes the proposed reinstatement of the stock transfer tax in New York state. While some see this as…
Enabling cross-border financial services to drive the economic recovery in 2021 and beyond
The United States leads the global economy in financial services: the U.S. is home to six of the world’s top…
SIFMA Opposes New York Stock Transfer Tax Due to Harm to Savers and Investors
New York, NY, February 3, 2021 – Today, SIFMA and 31 other organizations representing more than 544,000 workers in the…
SIFMA Statement on the Securing a Strong Retirement Act of 2020
Washington, D.C., October 27, 2020 – SIFMA today issued the following statement from President and CEO Kenneth E. Bentsen, Jr. on…
The New Jersey Globe Op-Ed: Financial Transaction Tax – A Tax on Savers and Investors
The following Op-Ed was originally published in the New Jersey Globe on October 27, 2020. The New Jersey legislature is…
SIFMA Statement and Testimony Opposing Proposed New Jersey Financial Transaction Tax
Washington, D.C., October 19, 2020 – SIFMA today issued the following statement from SIFMA president and CEO Kenneth E. Bentsen,…
UK and US Finance Industries Join Forces to Propose Vision for Closer Regulatory Cooperation
Leading representatives from the UK and US financial and related professional services industries have joined together to propose a united…
Senate Banking Committee Nomination Hearing
Senate Banking Committee “Nomination Hearing” Tuesday, July 21, 2020 Nominees The Honorable Hester Peirce, of Ohio, to be a Member…
Joint Trades Letter on Remote Workforce Relief
SIFMA and joint trades provided comments on legislation addressing state and local tax confusion arising for employees required to work…
Senate Banking Committee Hearing on the Implementation of Title IV of the CARES Act
Senate Committee on Banking, Housing, and Urban Affairs “Implementation of Title IV of the CARES Act” Tuesday, June 2, 2020…
Brookings Institution Webinar on COVID-19 and the Financial System
Brookings Institution “Webinar: COVID-19 and the financial system – How and why were financial markets disrupted?” Wednesday, May 27, 2020…
Senate Judiciary Committee Hearing on COVID-19 Liability
Senate Judiciary Committee “Examining Liability During the COVID-19 Pandemic” Tuesday, May 12, 2020 Witnesses Kevin Smartt, Chief Executive Officer, Kwik…
SIFMA Statement on Data Connectivity
Washington, D.C., February 7, 2020 – SIFMA today released the following statement from Kenneth E. Bentsen, Jr., SIFMA president and…
Joint Support for SECURE Act of 2019
SIFMA and joint trades provided comments to the U.S. Senate urging quick action to pass H.R. 1994, the Setting Every…
Revenue Ruling 2018-17 on IRA Escheatment
SIFMA sent recommendations to the IRS and U.S. Treasury on the Revenue Ruling 2018-17 to ensure smooth compliance while reducing…
Federal Debt Ceiling
SIFMA strongly supports Congressional efforts to raise the federal debt ceiling without delay. A failure to act would have negative…
Utah Tax on Services Letters
SIFMA applauds the Utah State Senate for creating the Tax Restructuring and Equalization Task Force to explore various revenue generating…
Putting Investors First: Proposals to Strengthen Enforcement Against Securities Laws Violators
SIFMA statement submitted for record before the U.S. House of Representatives, House Financial Services Subcommittee on Investor Protection, Entrepreneurship and…
Bilateral Regulatory Cooperation
Building Dialogues for Growth and Jobs The focus of this paper is on bilateral cross-border regulatory cooperation. Effective regulatory cooperation…
SECURE Act of 2019
SIFMA supports H.R. 1994, the Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019. SIFMA believes a number…
SEC Disclosure Effectiveness Testing Act
SIFMA sent comments on H.R. 1815, the “SEC Disclosure Effectiveness Testing Act.” H.R. 1815 would impose on the Securities and…
SIFMA Submits Written Statement on the SEC’s Regulation Best Interest to House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets
Washington, DC, March 14, 2019 — SIFMA submitted a written statement today to the House Financial Services Subcommittee on Investor…
Mark Schuermann Joins SIFMA Advocacy Team
Washington, D.C., January 7, 2019 – SIFMA today announced that Mark Schuermann has been appointed as managing director and head…
Jamie Wall Joins SIFMA Advocacy Team
Washington, D.C., December 19, 2018 – SIFMA today announced that Jamie Wall has been appointed as executive vice president, Advocacy. …
SIFMA Recommendations for Guidance in the 2018-19 Priority Guidance Plan
SIFMA provided comments to the Internal Revenue Service (IRS) and U.S. Department of Treasury (Treasury) on guidance projects in the…
H.R. 4061 – The Financial Stability Oversight Council Improvement Act of 2017
SIFMA provided comments to the House of Representatives on H.R. 4061, the Financial Stability Oversight Council Improvement Act of 2017. This bipartisan…
TCJA Section 965 – Deemed Repatriation Tax
SIFMA submitted comments to the Department of Treasury requesting guidance concerning the allocation of income and expenses for purposes of…
SIFMA Testimony on SB 383 Governing Financial Planners
SIFMA Managing Director for Public Policy and Advocacy Lisa J. Bleier testified before the Nevada Secretary of State - Securities…
SIFMA Supports DOL Extension of Transition Period and Delay of Applicability Dates
SIFMA provides comments to the US Department of Labor (DOL) in support for the DOL’s proposed 18-month delay of the…
U.S. Chamber of Commerce – “Fiduciary Duty: Assessing the Real World Impact”
Key Topics & Takeaways Limited Product Choice: In both the studies presented and first-hard accounts from advisors, panelists agreed that…
International Policy Government Representatives Committee
International Policy Overview SIFMA supports an open global economy in which financial services can boost trade and world growth. SIFMA’s…
SIFMA PAC
Your voice on Capitol Hill. SIFMA PAC is the political action committee for the Securities Industry and Financial Markets Association.…
Senior Investor Protection Toolkit
Senior financial exploitation has been estimated to cost savers almost $3 billion per year in cases that have been reported…
SIFMA Views on Tax Reform
This paper summarizes SIFMA’s current views on selected tax policy issues in the context of tax reform and is in…
The Lucas Amendment to H.R. 238: Language to Clarify Exemptions from Swap Rules
SIFMA and other associations provided a joint trade letter to US House of Representatives in support of the Lucas amendment…
H.R. 78: The SEC Regulatory Accountability Act
SIFMA provides comments to US House of Representatives Speaker Paul Ryan and Minority Leader Nancy Pelosi in support of H.R.…
H.R. 1550
SIFMA provides comments to the Committee on Financial Services in support of the Financial Stability Oversight Council (FSOC) Improvement Act…
Guidance Relating to Upfront Payments on Swaps
SIFMA with the CME Group, Inc. (CME Group), the North American Tax Committee of the International Swaps and Derivatives Association…
IRS & Treasury Application of PFIC Shareholder Reporting Requirements
SIFMA provides comments and suggested changes to the Internal Revenue Service (IRS) and the Department of the Treasury regarding the January…
Appreciation of Notice 2014-33 Regarding the FATCA Transition Relief
SIFMA provides comments to the U.S. Department of Treasury and the Internal Revenue Service (IRS) expressing appreciation for Notice 2014-33…
SIFMA on the Mobile Workforce State Income Tax Simplification Act
SIFMA submits this Statement for the Record to the U.S. House Judiciary Subcommittee on Regulatory Reform, Commercial and Antitrust Law…
Opposing Lending Tax
SIFMA and other associations provide comments to the House Ways and Means Committee and the House Republican Leadership opposing a…
Supporting the Small Cap Liquidity Reform Act
SIFMA provides comments to the U.S. Congress supporting the Small Cap Liquidity Reform Act of 2013, H.R. 3448. This legislation…
Urging Congress to Raise the Debt Ceiling
SIFMA and other trade associations provide comments to the U.S. Congress urging the Members to raise the federal debt limit…
Kenneth E Bentsen, Jr on the Impact of the Volcker Rule on Jobs
SIFMA President and CEO Kenneth E Bentsen, Jr. testifies before the U.S. House Financial Services Committee on the impact of…
Protecting the Financial Services Industry from Cyber Threats
SIFMA, the American Bankers Association (ABA), and The Financial Services Roundtable (FSR) provide comments to the U.S. Senate Select Committee…
Housing Finance Reform
SIFMA provides comments to the U.S. Senate Banking, Housing and Urban Affairs Committee responding to questions posed by the Committee…
Michael Canter on Housing Finance Reform
Written Statement of Michael Canter, Ph.D, Senior Vice President and Director of Securitized Assets, AllianceBernstein on behalf of the SIFMA…
Gary Wunderlich on Capital Formation
Testimony of Gary K. Wunderlich, Jr., CEO, Wunderlich Securities, on behalf of SIFMA, before the U.S. House Financial Services Subcommittee…
Kenneth E Bentsen, Jr. on the Dangers of Default
SIFMA President Kenneth E Bentsen, Jr. testifies before the Senate Committee on Banking, Housing and Urban Affairs on the Dangers…
Supporting Legislation Modifying Section 716 of Dodd-Frank
SIFMA provides comments to the U.S. House of Representatives supporting H.R. 992, the Swaps Regulatory Improvement Act. Section 716 of…
The Budget & the Debt Limit
SIFMA and 271 organizations and associations urge the U.S. Congress to pass a Continuing Resolution to ensure the uninterrupted funding…
Principles for GSE Reform
SIFMA provides comments to the U.S. Senate Banking Committee leadership recommending principles for reforming the U.S. housing finance system, including…
Kenneth E Bentsen, Jr on the Reauthorization of the CFTC
SIFMA President Kenneth E. Bentsen, Jr. testifies before the U.S. Senate Agriculture Committee on the Reauthorization of the Commodity Futures…
Cross-Border Application of Dodd-Frank
SIFMA and 12 other associations* provide comments to the Chairmen and Ranking Members for the U.S. Senate Banking, Housing and…
NSC on Financial Services Sector Inclusion in TTIP
SIFMA and nine other associations provide comments to the National Security Council (NSC) supporting the Transatlantic Trade and Investment Partnership…
USTR on TTIP & Requesting to Testify
SIFMA provides comments to the U.S. Trade Representative (USTR) regarding the proposed Transatlantic Trade and Investment Partnership (TTIP), FR Doc. 2013–07430. SIFMA…
SIFMA Statement on Housing Finance Reform
SIFMA submits this statement for the record to the U.S. House Financial Services Committee (HFSC) for the hearing, Building a…
EC & the NSC Recommending Goals for TTIP
SIFMA and its European-affiliate, the Association for Financial Markets in Europe (AFME), provide comments to the European Commission and the…
Proposed Technical Corrections to LLDIE Definition in FATCA
SIFMA and the Loan Syndication and Trading Association (LSTA) provide comments to the U.S. Department of Treasury and the Internal…
Kenneth E. Bentsen, Jr. on Legislation Regarding Derivatives
SIFMA Acting President & CEO Kenneth E. Bentsen, Jr. testifies before the U.S. House Financial Services Subcommittee on Capital Markets…
Supporting the Cyber Intelligence Sharing and Protection Act
SIFMA, along with the American Bankers Association (ABA), The Clearing House (TCH), the Consumer Bankers Association (CBA), the Electronic Funds Transfer Association, The Financial…
Requesting Clarification on Implementation of the Italian FTT within US Markets
SIFMA provides comments to the Italian Ministry of Economy and Finance requesting clarification on specific issues impacting the implementation of…
EC’s Enterprise & Trade Directorates-General on TTIP
SIFMA provides comments to United States Trade Representative (USTR), the Office of Management and Budget (OMB), and the European Commission’s Enterprise…
Access to China’s Financial Markets
SIFMA provides comments to U.S. Secretary of Treasury Jack Lew ahead of his visit to China. SIFMA expresses its continued concern…
Kennneth E. Bentsen, Jr. on Title VII of the Dodd-Frank Act
SIFMA Acting President & CEO Kenneth E. Bentsen, Jr. testimony before the U.S. House Agriculture Committee for a hearing to examine legislative improvements…
Lisa J. Bleier Testimony on Retirement Savings Legislation, Maryland
SIFMA Managing Director for Public Policy and Advocacy Lisa J. Bleier testified before the Maryland State Economic Matter Committee (Committee)…
Cross-Border Cash-Collateralized Derivatives Transactions
SIFMA provides comments with to the U.S. Department of Treasury and the Internal Revenue Service (IRS) on guidance under Section 956…
IRS Requesting Competent Authority Assistance Under the US-France Tax Convention
SIFMA and the Investment Company Institute (ICI) provide comments to the Internal Revenue Service (IRS) requesting competent authority assistance under…
Extension of All Expiring Tax Rates
SIFMA and 120 other trade associations call Congress to act now and extend all the expiring tax rates for one year…
Kenneth Gibbs on Municipal Finance
Statement of Kenneth D. Gibbs, President of the Municipal Securities Group, Jefferies & Co. Inc., on behalf of SIFMA, before…
Kenneth Bentsen on the Impact of Dodd-Frank’s Home Mortgage Reforms
SIFMA Executive Vice President for Public Policy and Advocacy Kenneth Bentsen testifies before the U.S. House Financial Services Subcommittee on Financial…
Transatlantic Financial Markets Regulatory Dialogue
SIFMA and AFME provide comments to the U.S. Department of Treasury and the European Commission on the upcoming US-EU Financial…
Financial Transaction Tax
SIFMA provides comments to U.S. Treasury Secretary Geithner opposing any financial transaction tax (FTT). At a time when global economic…
Clarifications to the Finance Bill 2012
SIFMA, as part of a coalition, provides comments to India's Ministry of Finance requesting clarifications to the Finance Bill 2012. …
The Highway Investment, Job Creation and Economic Growth Act
SIFMA, as part of a coalitions, provides comments to the U.S. Congress Conference Committee tasked with agreeing to provisions in…
Cyber Intelligence Sharing & Protection Act
SIFMA provides comments to the U.S. House Permanent Select Committee on Intelligence supporting the Cyber Intelligence Sharing and Protection Act, H.R.3523. …
US Congress on Legislation to Maintain the Capital Gains & Dividends Tax Rates
SIFMA, as part of a coalition, provides comments strongly urging Congress to support S. 1647, introduced by Senator Mike Crapo (R-Idaho),…
Preservation of the Employer-Provided Retirement System
SIFMA, along with 28 trade associations, provide comments to the U.S. House Ways and Means Committee urging the Committee to preserve…
SIFMA on the Administration’s 2012 Trade Agenda
SIFMA submits a statement for the record to the U.S. Senate Finance Committee for the Committee's hearing, The Administration's 2012…
SIFMA on the Administration’s 2012 Trade Agenda
SIFMA submits a statement for the record to the U.S. House Ways and Means Committee for the Committee's hearing, The Administration's 2012…
Trans-Pacific Partnership Agreement
SIFMA and 30 other trade associations provide comments to the Obama Administration strongly supporting the Administration's pursuit of a comprehensive and high-standard Trans-Pacific…
Federal Deposit Insurance Act
SIFMA provides comments to U.S. Representative Bill Huizenga, a sponsor of H.R. 4014, a bill that would amend the Federal…
Reopening American Capital Markets to Emerging Growth Companies Act
SIFMA provides comments to the U.S. House Financial Services Committee supporting H.R.3606, the Reopening American Capital Markets to Emerging Growth…
SEC Regulatory Accountability Act
SIFMA provides comments to the Representative Scott Garrett, Chairman of the House Financial Services Subcommittee on Capital Markets and Government…
Legislation Related to Certain Swap Activities
SIFMA provides comments to U.S. Representative Nan Hayworth, a sponsor of H.R. 1838, a bill to repeal a provision of…
USTR Participation of Canada, Japan, and Mexico in TPP
SIFMA provides comments to the United States Trade Representative (USTR) on the participation of Canada, Japan, and Mexico in Trans-Pacific…
Whistleblower Improvement Act
SIFMA provides comments to the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises strongly supporting the…
Legislation to Exempt Certain Inter-Affiliate Transactions Under the Dodd-Frank Act
SIFMA provides comments to the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises support H.R. 2779,…
Swap Execution Facility Clarification Act
SIFMA provides comments to the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises would require the…
SEC Rulemaking Process
SIFMA provides comments to the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises supporting H.R. 2308,…
Legislation Related to Section 716 of the Dodd-Frank Act
SIFMA provides comments to the U.S House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises supporting H.R. 1838,…
Richard Dorfman on the US Housing Finance System
Testimony of Richard A. Dorfman, Managing Director, Head of Securitization Group, SIFMA, before the House Financial Services Subcommittee on International…
John Taft on Broker-Dealers and Investment Advisers
Testimony of John Taft, SIFMA Chairman, and Head of U.S. Wealth Management, RBC Wealth Management before the U.S. House Financial Services Subcommittee…
Bipartisan Proposal on Deficit Reduction & Higher Debt Limit
SIFMA, together with American Bankers Association, American Council of Life Insurers, American Insurance Association, The Clearing House Association L.L.C., Consumer Bankers…
T. Timothy Ryan, Jr. on FATCA
T. Timothy Ryan, Jr., President & CEO of SIFMA, files a written statement for the record to the U.S. House Financial…
Dodd-Frank Short Sale Reporting Studies
SIFMA provides comments to the Securities and Exchange Commission (SEC), on behalf of its Division of Risk, Strategy, and Financial…
Small Company Capital Formation Act of 2011
SIFMA provides comments to the U.S. House Financial Services Committee strongly supporting the passage of the Small Company Capital Formation Act…
The United States Covered Bond Act of 2011
SIFMA and its U.S. Covered Bond Council provide comments to the U.S. House Financial Services Committee strongly supporting the United…
T. Timothy Ryan, Jr. on Financial Regulatory Reform
SIFMA President & CEO, T. Timothy Ryan, Jr. testifies before the U.S. House Financial Services Committee for the hearing, Financial Regulatory Reform:…
T. Timothy Ryan, Jr. on Financial Regulatory Reform
Testimony of T. Timothy Ryan, Jr., President & CEO, SIFMA before the U.S. House Financial Services Committee for the hearing, International Context…
SIFMA and Other Associations on Protecting Americans’ Retirement Savings
SIFMA, together with the American Bankers Association (ABA), The Financial Services Roundtable (FSR), the Financial Services Institute (FSI), Insured Retirement…
Risked-Based Capital Standards
SIFMA and The Clearing House Association, L.L.C. (TCH) provide comments to the Board of Governors of the Federal Reserve (Fed),…
Ira Hammerman on SIPA
Testimony of Ira Hammerman, Senior Managing Director and General Counsel, SIFMA before the U.S. House Financial Services Subcommittee on Capital…
Scott A. Stengel on Covered Bonds
Testimony of Scott A. Stengel, partner, Orrick, Herrington & Sutcliffe LLP, on behalf of SIFMA, before the U.S. Senate Banking, Housing,…
SAFE Mortgage Licensing Act
SIFMA provides comments to the U.S. Department of Housing and Urban Development (HUD) regarding the Secure and Fair Enforcement for…
Tax Credit Bonds
SIFMA provides comments to the U.S. House of Representatives in support of the House Amendment to Section 301 of the…
Thematic Peer Review on Compensation
SIFMA and the Remuneration Working Group of the Association for Financial Markets in Europe (AFME) provide comments to the Financial Stability Board…
The Wall Street Reform & Consumer Protection Act of 2009
Letter to Speaker Pelosi and Minority Leader Boehner re: The Wall Street Reform and Consumer Protection Act of 2009 –…
Guidance on Sound Incentive Compensation Policies
SIFMA provides comments to the Board of Governors of the Federal Reserve System regarding proposed guidance on sound incentive compensation policies,…
SIFMA President and CEO on Systemic Regulation, Prudential Matters, Resolution Authority and Securitization
Testimony of SIFMA President and CEO at the Hearing on: "Systemic Regulation, Prudential Matters, Resolution Authority and Securitization"
Investor Protection Act as it Pertains to Fiduciary Duty
SIFMA provides comments to the House Financial Committee on the Investor Protection Act, Section 103, as it pertains to fiduciary…
James J. Hill on Financial Services
Testimony of James J. Hill, Managing Director of Morgan Stanley & Co. Incorporated, on behalf of SIFMA before the U.S.…
John Taft on Financial Services
Testimony of John Taft, Head of U.S. Wealth Management, RBC Wealth Management, and Chairman of the Private Client Group Steering…
James McCarthy on Defined Benefit Pension Plan Funding Levels and Investment Advice Rules
Testimony of James McCarthy, Managing Director, Retirement Plan Services, Morgan Stanley Smith Barney on behalf of The Securities Industry and…
E. John Moloney on Small Business
Testimony of E. John Moloney President and CEO Moloney Securities Company, Inc. Chairman Small Firms Committee Securities Industry and Financial…
Dan Budofsky on The Over-The-Counter Derivatives Markets Act of 2009
Testimony Of Dan Budofsky Davis Polk & Wardwell LLP On Behalf Of The Securities Industry And Financial Markets Association Before…
Proposed Rules Regarding Proxy Disclosure & Solicitation Enhancements
SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposed rules regarding proxy disclosure and solicitation enhancements, File No. S7-13-09.…
SIFMA Evaluating Equitability Of NYS’ Business And Banking Tax Structures
SIFMA’s Testimony before the NYS Senate Select Committee on Business Tax Reform; Hearing on Evaluating The Equitability Of New York…
Bernard Beal Before House Committee on Financial Services
Written Testimony of Bernard Beal, Chief Executive Officer, President M.R. Beal & Company, Vice Chair, Securities Industry and Financial Markets…
FDIC on Legacy Loans Program
SIFMA provides comments to the Federal Deposit Insurance Corporation (FDIC) on the Legacy Loans Program. SIFMA supports the shared goals…
Melanie Franco Nussdorf before Committee on Education and Labor, United States House of Representatives
Testimony of Melanie Franco Nussdorf on behalf of SIFMA before The Health, Employment, Labor and Pensions Subcommittee, The Committee on…
T. Timothy Ryan, Jr. on Enhancing Investor Protection
Testimony of T. Timothy Ryan, Jr., President & CEO of SIFMA before the U.S. Senate Banking, Housing and Urban Affairs Committee for…
Edward Rosen on the Derivatives Markets Transparency and Accountability Act of 2009
Testimony of Edward Rosen, partner, Cleary Gottlieb Steen & Hamilton, on behalf of SIFMA, before the House Agriculture Committee on…
SIFMA on Regulation of the Credit Default Swap (CDS) Market
SIFMA’s testimony to NCOIL Steering and Financial Services & Investment Products Committees Hearing on Regulation of the Credit Default Swap…
Urging Inclusion of AMT Exemption for PABs in the Economic Stimulus Package
SIFMA sends letter to Senate leadership urging inclusion of AMT exemption for PABs in the economic stimulus package
Urging Inclusion of AMT Exemption for PABs in the Economic Stimulus Package
SIFMA sends letter to House leadership urging inclusion of AMT exemption for PABs in the economic stimulus package
Stimulus Package Considered by Congress
SIFMA provides comments to Members of the U.S. House of Representatives on the stimulus package considered by Congress including a…
Private Activity Bonds and AMT
SIFMA provides comments to Congressmen Richard Neal and Paul Ryan, both members of the U.S. House Committee on Ways and…
Don Thompson on the Role of Credit Default Swaps
Testimony of Don Thompson, Managing Director and Associate General Counsel, JP Morgan, on behalf of JP Morgan and SIFMA, before…
SIFMA on the CDS Market
SIFMA Submits Testimony for the Record of the NYS Assembly Standing Committee on Insurance Hearing on the CDS Market
The Municipal Bond Market Support Act
SIFMA provides comments to Senators Jeff Bingaman (D-N.M.) and Mike Crapo (R-Idaho), who are members of the U.S. Senate Finance Committee, on the Municipal…
Implementation of Temporary Liquidity Guarantee Program
SIFMA provides comments to the Federal Deposit Insurance Corporation (FDIC) on the Interim Rule Implementing the Temporary Liquidity Guarantee Program (TLGP) issued by…
Proposed Guarantee Program for Troubled Assets
SIFMA and the American Securitization Forum (ASF) provide comments to the U.S. Department of Treasury on the development of a program to…
Timothy Ryan in Favor of Stability Regulator
SIFMA's President and CEO, Timothy Ryan, testifies before the U.S. House of Representatives, in favor of stability regulator
Bankruptcy Changes in Mortgage-Market Stabilization Plan
SIFMA and 11 other associations provide comments to the U.S. Congress on bankruptcy provisions in the U.S Department of Treasury's…
Bipartisan Tax Extenders Agreement
SIFMA provides comments to the U.S. Senate Majority and Minority leaders and the Chair and Ranking Member of the U.S. Senate…
Speculation Legislation
SIFMA and seven other associations provide comments to the Speaker of the House of the U.S. House of Representatives and the House…
George Miller on Transparency in Accounting
Testimony of George Miller, executive director of the American Securitization Forum (ASF), on transparency in accounting before the Securities, Insurance…
The Commodity Markets Transparency and Accountability Act
SIFMA provides comments to the U.S. House of Representatives Speaker of the House and the Minority Leader opposing The Commodity Markets Transparency…
Active Financing
SIFMA provides comments to members of the U.S. Senate Majority and Minority Leaders and the Chairman and Ranking Member of the Senate Finance…
Oil Prices
SIFMA, along with the Commodity Markets Council (CMC), the Futures Industry Association (FIA), the International Swaps and Derivatives Association (ISDA), Managed…
Arbitration Fairness Act
SIFMA provides comments to the Chairman and Ranking Member of the U.S House Judiciary Subcommittee on Commercial and Administrative Law strongly…
Testimony on the Business Activity Tax Simplification Act
Testimony Submitted to the House Judiciary Subcommittee on Commercial and Administrative Law June 24, 2008, RE: H.R. 5267, the Business…
Custody Requirements for Investment Advisers
SIFMA provides comments to the Securities Division of the Washington State Department of Financial Institutions on proposed rulemaking relating to…
Mergers, Acquisitions, and Takeovers by Foreign Persons
SIFMA provides comments to the U.S. Department of Treasury on proposed regulations pertaining to mergers, acquisitions, and takeovers by foreign…
Thomas Hamilton on Conforming Loan Limit Increase and Impact on Homebuyers and Housing Market
Testimony on behalf of SIFMA by Thomas Hamilton, Vice Chairman, MBS and Securitized Products Division, Executive Committee at the House…
William E. Ryan III on Proposed Amendments To Regulations Under ERISA Section 408(B)(2) Presented By William. E. Ryan III
SIFMA Testimony on Proposed Amendments To Regulations Under ERISA Section 408(B)(2) Presented By William. E. Ryan III
Kim Chamberlain regarding S.B. 652, An Act Concerning Small Business Retirement Plans
Testimony on behalf of SIFMA by Kim Chamberlain before the Joint Commerce Committee regarding S.B. 652, An Act Concerning Small…
US Senate Republican Capital Markets Task Force on Competitiveness
SIFMA provides comments to the U.S. Senate Republican Capital Markets Task Force on enhancing competitiveness of the U.S. capital markets. Specifically,…
Leslie B. Samuels on Select Revenue Measures: Hearing on Tax Treatment of Derivatives
Testimony on behalf of SIFMA by Leslie B. Samuels Before the House Subcommittee on Select Revenue Measures: Hearing on Tax…
Federal Home Loan Banks to Provide Credit Enhancement to Tax-Exempt Municipal Bonds
SIFMA provides comments to the Chairman and Ranking Member of the US House Ways and Means Committee urging the inclusion…
Foreclosure Prevention Act of 2008
SIFMA, as part of the Bankruptcy Coalition provides comments to the U.S. Senate Majority and Minority Leaders on the Foreclosure Prevention Act of 2008…
Small Businesses Add Value for Employees Act of 2008
SIFMA provides comments to U.S. Representative Ron Kind (D-3rd, Wis.) on the Small Businesses Add Value for Employees Act of 2008 (SAVE Act,…
Industrial Bank Holding Company Act of 2008
SIFMA provides comments to U.S. Senate Banking Committee leadership on the Industrial Bank Holding Company Act of 2008. SIFMA strongly supports the…
SIFMA Before the New York Senate Finance and Assembly Ways and Means
SIFMA Testifies Before the New York Senate Finance and Assembly Ways and Means
Extension of Active Finance Rules as Part of a Stimulus Plan
SIFMA provides comments to the U.S. Senate Majority and Minority Leaders and the Chairman and Ranking Member of the Senate Finance…
Extension of AFE in the Stimulus Bill
SIFMA as part of the Active Financing Working Group provides comments to the U.S. Secretary of Treasury on the inclusion of…
Proposed Changes to the Mortgage Revenue Bond Program
SIFMA provides comments to the U.S. Department of Treasury on proposed changes to the Mortgage Revenue Bond program. The Administration…
Larry Platt Before the Committee on Financial Services United States House of Representatives
Statement of Larry Platt Kirkpatrick & Lockhart Preston Gates Ellis LLP On behalf of Securities Industry and Financial Markets Association…
US Regulatory Structure for Financial Institutions
SIFMA provides comments to U.S. Department of Treasury on the U.S. regulatory structure for financial institutions, TREAS-DO-2007-0018. SIFMA believes that the…
US House of Representatives Opposition on the Arbitration Fairness Act
SIFMA as part of the Coalition to Preserve Arbitration (Coalition) provides comments to the U.S. House of Representatives on the Arbitration Fairness…
US Senate Opposition on the Arbitration Fairness Act
The Coalition to Preserve Arbitration provides comments to the U.S. Senate on the Arbitration Fairness Act, S.1782. The Coalition includes…
Patent Reform Act of 2007
SIFMA provides comments to U.S. House of Representatives leadership on the Patent Reform Act of 2007, H.R. 1908. SIFMA supports…
Mortgage Financing Market Related to Subprime Mortgage Financing
SIFMA, the American Securitization Forum (ASF), the Financial Services Roundtable (FSR), the Housing Policy Council, and the Mortgage Bankers Association…
Financial Literacy Education Commission Youth Financial Education
SIFMA's Foundation for Investor Education provides comments to Financial Literacy Education Commission in the U.S. Department of Treasury. SIFMA's Foundation…
Provisions in the Fair Minimum Wage Act of 2007
SIFMA provides comments to U.S. Senate Majority Leader Harry Reid (D-Nev.) on provisions in the Fair Minimum Wage Act of…
Section 409(a) of the Internal Revenue Code
The Securities Industry Association (SIA)* provides comments to the Internal Revenue Service (IRS) on proposed regulations issued relating to Section 409(a) of the…
Industrial Loan Corporations
The Securities Industry Association (SIA)* provides comments to the Federal Deposit Insurance Corporation (FDIC) on Industrial Loan Corporations (ILCs). SIA details…
Consideration of a Proposed Treasury Securities Lending Facility
The Bond Market Association (TBMA)* provides comments to the U.S. Department of Treasury (Treasury) on the Treasury's white paper Consideration of…
The Year 2000 Computer Remediation and Shareholder Protection Act of 1997
The Year 2000 Legal and Regulatory Subcommittee of the Securities Industry Association (SIA) provide comments to the U.S. Senate Banking…