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Type:

Date:

April 16, 2025

By:

Kenneth E. Bentsen, Jr. and Saima Ahmed

Issues:

Podcasts, Legal & Compliance

Shaping the 2025 Regulatory Roadmap: Insights from the SEC and FINRA at SIFMA’s C&L Seminar

In this episode of The SIFMA Podcast, SIFMA’s President and CEO, Kenneth E. Bentsen, Jr., sits down with Saima Ahmed,…

Type:

Date:

April 2, 2025

Issues:

Legal & Compliance, Insights

C&L Annual Seminar Debrief, 2025

Perspectives and Key Themes from Compliance and Legal Professionals Recently, SIFMA hosted our C&L Annual Seminar, with insights into top-of-mind…

Type:

Date:

March 24, 2025

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations, Mary! Our 2025 Rauschman Award Recipient

It is the pleasure of SIFMA’s Compliance & Legal Society to present Mary L. Schapiro with the 2025 Alfred J.…

Type:

Date:

March 11, 2025

Issues:

Press Releases, Legal & Compliance

SIFMA Compliance & Legal Society Announces Mary Schapiro as the Recipient of the 2025 Alfred J. Rauschman Award

SIFMA's Compliance & Legal Society has announced Mary Schapiro as the recipient of the 2025 Alfred J. Rauschman Award, to…

Type:

Date:

March 11, 2025

Issues:

Press Releases, Legal & Compliance

SIFMA Compliance & Legal Society Announces Yoon-Young Lee the Recipient of the 2025 Diversity, Equity, & Inclusion Advocate Award

SIFMA's Compliance & Legal Society has announced Yoon-Young Lee as the recipient of the 2025 Diversity, Equity, & Inclusion Advocate…

Type:

Date:

June 11, 2024

By:

Bernard Canepa

Issues:

Pennsylvania + Wall, Legal & Compliance, AML & Financial Crime

The Red Queen Hypothesis: Adaptive Evolution in the Fight Against Money Laundering and Financial Crime

An effective anti-money laundering program is a critical tool to fight financial crime and protect the integrity of the capital…

Type:

Date:

April 15, 2024

Issues:

Letters, Legal & Compliance, Asset Management, AML & Financial Crime

Notice of Proposed Rulemaking on AML/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements (SIFMA and SIFMA AMG)

SIFMA and SIFMA AMG provided comments to the Financial Crimes Enforcement Network (FinCEN) on its proposed rule to impose certain…

Type:

Date:

April 3, 2024

Issues:

Legal & Compliance, Insights

C&L Annual Seminar Debrief, 2024

Perspectives and Key Themes from Compliance and Legal Professionals Recently, SIFMA hosted our C&L Annual Seminar. Here we gained insights…

Type:

Date:

March 19, 2024

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations, Tonia! Our 2024 DE&I Advocate Award Recipient

It is the pleasure of SIFMA’s Compliance & Legal Society to present Tonia Bottoms with the 2024 DE&I Advocate Award!

Type:

Date:

March 19, 2024

Issues:

Press Releases, Legal & Compliance

SIFMA Compliance & Legal Society Announces Tonia Bottoms of BNY Mellon’s Pershing the Recipient of the 2024 DE&I Advocate Award

SIFMA's Compliance & Legal Society has announced Tonia Bottoms as the recipient of the 2024 Diversity, Equity & Inclusion Advocate…

Type:

Date:

March 18, 2024

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations, Steve! Our 2024 Rauschman Award Recipient

It is the pleasure of SIFMA’s Compliance & Legal Society to present Stephen M. Cutler with the 2024 Alfred J.…

Type:

Date:

March 11, 2024

Issues:

Press Releases, Legal & Compliance

SIFMA Compliance & Legal Society Announces Stephen M. Cutler as the Recipient of the 2024 Alfred J. Rauschman Award

SIFMA's Compliance & Legal Society has announced Stephen M. Cutler as the recipient of the 2024 Alfred J. Rauschman Award,…

Type:

Date:

March 6, 2024

Issues:

White Papers, Legal & Compliance

Navigating Regulatory Challenges in Cloud Services Agreements

Introduction: SIFMA, in partnership with Bortstein Legal Group, first developed this paper in 2020 and updated it in early 2024.…

Type:

Date:

October 23, 2023

By:

Melissa MacGregor, Marc Ponchione, Jeffrey L. Robins, Kristin A. Snyder, Matt Kelly, Sheena Paul, Jarrett Lewis, and Melissa Muse

Issues:

Pennsylvania + Wall, Legal & Compliance

Using Technology to Benefit Markets and Investors

Among its many uses in the financial world, technology can improve operational efficiencies, reduce risk and provide valuable information and…

Type:

Date:

October 10, 2023

Issues:

Letters, Legal & Compliance, Asset Management

Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker- Dealers and Investment Advisers (SIFMA and SIFMA AMG)

SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) on proposed rules that would require…

Type:

Date:

July 17, 2023

By:

Melissa MacGregor, Avi Gesser, Matt Kelly, Stephanie Thomas and Ned Terrace

Issues:

Pennsylvania + Wall, Legal & Compliance, Digitization

Achieving Sensible AI Regulation

The proliferation of AI tools and rapid pace of AI adoption have led to calls for new regulation at all…

Type:

Date:

June 13, 2023

By:

Bernard Canepa

Issues:

Pennsylvania + Wall, Legal & Compliance, AML & Financial Crime

Key Takeaways from AML 2023

An effective anti-money laundering program is a critical tool to fight financial crime and protect the integrity of the capital…

Type:

Date:

May 17, 2023

By:

Bernard Canepa

Issues:

Pennsylvania + Wall, Legal & Compliance, AML & Financial Crime

Hot Topics in AML and Financial Crimes for Broker-Dealers

Ahead of SIFMA's 2023 Anti-Money Laundering & Financial Crimes Conference, SIFMA's Bernard Canepa discusses current hot topics in anti-money laundering…

Type:

Date:

April 20, 2023

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with SIFMA C&L Society Leadership

The SIFMA C&L Society recently welcomed our new president, Scott Kursman. Scott sat down with Michelle Oroschakoff, our outgoing president…

Type:

Date:

March 24, 2023

By:

Michelle Oroschakoff and John O'Connell

Issues:

Pennsylvania + Wall, Legal & Compliance

Welcome Back from the 2023 C&L Annual Seminar!

A Note from the C&L Society’s Michelle Oroschakoff and John O’Connell To those of you who joined us at the C&L…

Type:

Date:

March 24, 2023

Issues:

Legal & Compliance, Insights

C&L Annual Seminar Debrief, 2023

Perspectives and Key Themes from Compliance and Legal Professionals Recently, SIFMA hosted our C&L Annual Seminar. With three days of…

Type:

Date:

March 14, 2023

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations, Jill! Our 2023 DE&I Advocate Award Recipient

It is the pleasure of SIFMA’s Compliance & Legal Society to present Jill Centella with the 2023 DE&I Advocate Award!

Type:

Date:

March 13, 2023

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations, Dick! Our 2023 Rauschman Award Recipient

It is the pleasure of SIFMA’s Compliance & Legal Society to present Richard (Dick) Walker with the 2023 Alfred J.…

Type:

Date:

March 11, 2023

Issues:

Legal & Compliance, Insights

2023 C&L Annual Seminar, Pre-Conference Survey Results

Ahead of SIFMA’s 2023 C&L Annual Seminar, we executed a pre-conference survey of attendees and select SIFMA members. We highlight…

Type:

Date:

March 1, 2023

Issues:

Press Releases, Legal & Compliance, Inclusion

SIFMA Compliance & Legal Society Announces JP Morgan Chase’s Jill Centella as Recipient of DE&I Advocate Award

SIFMA has announced Jill Centella, Global Head of Litigation, Government Investigations and Human Resources Legal, J.P. Morgan Chase & Co.,…

Type:

Date:

March 1, 2023

Issues:

Press Releases, Legal & Compliance

Richard Walker Named 2023 Recipient of SIFMA’s C&L Society’s Rauschman Award

SIFMA announced Richard Walker of King & Spalding is the 2023 recipient of the SIFMA Compliance & Legal Society’s Alfred…

Type:

Date:

November 18, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with SIFMA’s Hammerman and Ahmed

SIFMA's long-time general counsel, Ira Hammerman, talks about retirement and welcomes Saima Ahmed into the role to reflect on what’s…

Type:

Date:

September 22, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with John O’Connell, Goldman Sachs

John O’Connell is a passionate advocate for the SIFMA C&L Society’s efforts to promote a diverse, equitable and inclusive financial…

Type:

Date:

September 7, 2022

Issues:

Press Releases, Legal & Compliance

SIFMA Appoints Saima S. Ahmed Executive Vice President and General Counsel

Washington, D.C., September 7, 2022 – SIFMA today announced Saima S. Ahmed has been appointed Executive Vice President and General…

Type:

Date:

August 3, 2022

By:

Kenneth E. Bentsen, Jr.

Issues:

The Individual Investor, Private Client & Wealth Management, Pennsylvania + Wall, Legal & Compliance, e-Delivery, Digitization

It’s Time to Embrace e-Delivery to Meet Investors’ Needs for the 21st Century

Americans are online more than ever these days. New survey results show that most Americans with investment and savings accounts…

Type:

Date:

August 3, 2022

Issues:

The Individual Investor, Shortening the Settlement Cycle, Private Client & Wealth Management, Letters, Legal & Compliance, e-Delivery, Digitization

e-Delivery in a T+1 Environment

SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on the need to modernize its rules to make…

Type:

Date:

June 23, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with Gleennia Napper, Deutsche Bank

SIFMA’s Compliance & Legal Society sat down with Gleennia Napper, Head of U.S. Research Compliance at Deutsche Bank. Gleennia is…

Type:

Date:

June 21, 2022

Issues:

Private Client & Wealth Management, Operations & Technology, Legal & Compliance, Insights

Pre-Conference Survey Comparison, Spring 2022

Ahead of several of SIFMA’s marquee conferences, we executed a pre-conference survey of attendees and select SIFMA members. While each…

Type:

Date:

June 14, 2022

By:

Bernard Canepa

Issues:

Pennsylvania + Wall, Legal & Compliance, AML & Financial Crime

Key Takeaways from AML 2022

An effective anti-money laundering program is a critical tool to fight financial crime and protect the integrity of the capital…

Type:

Date:

April 28, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with Michelle Oroschakoff, LPL Financial

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry.…

Type:

Date:

April 1, 2022

Issues:

Legal & Compliance, Insights

C&L Annual Seminar Debrief, 2022

Recently, SIFMA hosted our C&L Annual Seminar. With three days of presentations and events and over 1,400 participants, we gained…

Type:

Date:

March 22, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance, Inclusion, Diversity & Inclusion

Congratulations, Chris and Jackie: Our Inaugural DE&I Advocate Award Recipients

SIFMA announced Jacqueline LiCalzi, Managing Director, Global Head of Regulatory Relations, Morgan Stanley and Chris Lewis, Principal, General Counsel, Edward…

Type:

Date:

March 21, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

Congratulations Paul: Our 2022 Rauschman Award Recipient

The Alfred J. Rauschman Award is presented by SIFMA's Compliance & Legal Society annually to a candidate who has demonstrated…

Type:

Date:

March 21, 2022

By:

SIFMA Editors

Issues:

Speeches, Legal & Compliance

Congratulations, Ira!

When SIFMA EVP and General Counsel Ira Hammerman announced his retirement at the end of 2022, we knew he needed…

Type:

Date:

March 16, 2022

Issues:

Press Releases, Legal & Compliance, Inclusion

SIFMA Compliance & Legal Society Announces Recipients of DE&I Advocate Award

SIFMA announced Jacqueline LiCalzi, Managing Director, Global Head of Regulatory Relations, Morgan Stanley and Chris Lewis, Principal, General Counsel, Edward…

Type:

Date:

March 16, 2022

By:

SIFMA Editors

Issues:

Pennsylvania + Wall, Legal & Compliance

A Conversation with Karen O’Toole, Fidelity

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. With…

Type:

Date:

March 16, 2022

Issues:

Press Releases, Legal & Compliance

Paul Merolla Named 2022 Recipient of SIFMA’s C&L Society’s Rauschman Award

SIFMA announced Paul Merolla, retired partner at Murphy & McGonigle, P.C. is the 2022 recipient of the SIFMA Compliance &…

Type:

Date:

March 3, 2022

Issues:

Privacy & Data Protection, Press Releases, Legal & Compliance

NIST Report Gives Narrow Glimpse of Complex Consumer Data-Sharing Picture

Washington, D.C., March 3, 2022 – The National Institute of Standards and Technology recently released a draft report on cybersecurity…

Type:

Date:

January 4, 2022

Issues:

Press Releases, Legal & Compliance

Ira D. Hammerman, SIFMA General Counsel, to Retire End of 2022

Washington, D.C., January 4, 2022 – Ira D. Hammerman, Executive Vice President and General Counsel of the Securities Industry and…

Type:

Date:

November 8, 2021

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

California Privacy Rights Act of 2020 Proposed Rulemaking

SIFMA provided comments to the California Privacy Protection Agency (CPPA) in response to their Invitation for Preliminary Comments on Proposed…

Type:

Date:

October 5, 2021

By:

Kevin Carroll

Issues:

The Individual Investor, Private Client & Wealth Management, Pennsylvania + Wall, Legal & Compliance

Securities Arbitration System Works Effectively and Benefits Investors

Legislation under discussion in the U.S. House of Representatives would change the decades-old securities arbitration system for dispute resolution to…

Type:

Date:

October 1, 2021

Issues:

The Individual Investor, SEC Regulation Best Interest, Private Client & Wealth Management, Press Releases, Legal & Compliance

SIFMA Response to SEC Request for Comment on Digital Engagement Practices

Washington, D.C., October 1, 2021 – SIFMA today submitted a letter to the U.S. Securities and Exchange Commission (SEC) in…

Type:

Date:

September 9, 2021

By:

Bernard Canepa

Issues:

Remote Inspections, Pennsylvania + Wall, Pandemic Planning, Legal & Compliance

Regulators Again Need to Rethink Onsite Inspections as Pandemic Continues

The last 18 months have demonstrated remote inspections work well In response to significant ongoing health and safety concerns and…

Type:

Date:

June 9, 2021

Issues:

Letters, Legal & Compliance

Financial Institutions Use of Artificial Intelligence Including Machine Learning

SIFMA provided comments to the Board of Governors of the Federal Reserve System (Federal Reserve), the Bureau of Consumer Financial…

Type:

Date:

February 4, 2021

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

Joint Comments on Proposed Rulemaking Regarding Consumer Access to Financial Records

SIFMA and joint trades provided comments to the Consumer Financial Protection Bureau (CFPB) on their Advanced Notice of Proposed Rulemaking…

Type:

Date:

February 4, 2021

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

Consumer Access to Financial Records

SIFMA provided comments to the U.S. Bureau of Consumer Financial Protection (CFPB) regarding Docket No. CFPB-2020-0034; RIN 3170-AA78; Bureau of…

Type:

Date:

December 10, 2020

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

Transfer tools to ensure compliance with the EU level of protection of personal data

SIFMA and AFME provide joint comments to the EDPB’s measures that supplement transfer tools to ensure compliance with the EU…

Type:

Date:

December 10, 2020

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

European Commission implementing decision on standard contractual clauses for the transfer of personal data to third countries pursuant to regulation (EU) 2016/679

SIFMA and AFME provide joint comments to the European Commission’s draft implementing decision on standard contractual clauses for the transfer…

Type:

Date:

November 16, 2020

Issues:

Letters, Legal & Compliance, AML & Financial Crime

Anti-Money Laundering Program Effectiveness

SIFMA provided comments to the Financial Crimes Enforcement Network (“FinCEN”) on the advance notice of proposed rulemaking (the “ANPRM”) and…

Type:

Date:

November 16, 2020

Issues:

Letters, Legal & Compliance, AML & Financial Crime

Joint Trades on Anti-Money Laundering Program Effectiveness

SIFMA and joint trades provided comments on the advance notice of proposed rulemaking issued by the Financial Crimes Enforcement Network…

Type:

Date:

November 10, 2020

By:

Melissa MacGregor

Issues:

Podcasts, Legal & Compliance, Capital Markets

Podcast: Clearing Up Regulatory Obligations in Cloud Services 2.0

Melissa MacGregor, Managing Director and Associate General Counsel at SIFMA, sat down with Larry Bortstein, Founder of Bortstein Legal Group,…

Type:

Date:

October 29, 2020

By:

Melissa MacGregor

Issues:

Pennsylvania + Wall, Legal & Compliance

Clearing Up Regulatory Obligations in Cloud Services

Cloud services offer faster and more economical scalability of computing power and data storage than alternative locally installed solutions, but…

Type:

Date:

September 23, 2020

By:

Kenneth E. Bentsen, Jr.

Issues:

The Individual Investor, Pennsylvania + Wall, Operations & Technology, Legal & Compliance, e-Delivery, Digitization

It’s Time for Regulators to Embrace E-Delivery to Meet Investor Needs for the 21st Century

With more than 90% of adults in the United States using the internet, nearly 89% filing federal taxes electronically—nearly 77%…

Type:

Date:

September 22, 2020

Issues:

White Papers, The Individual Investor, Operations & Technology, Legal & Compliance, e-Delivery, Digitization

e-Delivery Report

Modernizing the Regulatory Communications Framework to Meet Investor Needs for the 21st Century   September 2020 SIFMA, SIFMA AMG, The…

Type:

Date:

September 22, 2020

Issues:

Press Releases, Operations & Technology, Legal & Compliance

SIFMA Calls on SEC to Modernize the Regulatory Communications Framework to Meet Investor Needs for the 21st Century

Washington, D.C., September 22, 2020 – The Securities Industry and Financial Markets Association, the SIFMA Asset Management Group, the Financial…

Type:

Date:

April 22, 2020

Issues:

Letters, Legal & Compliance

Proposal to Implement the Recommendations of the CE Council Regarding Enhancements to CE Program

SIFMA provided comments to FINRA on FINRA Regulatory Notice 20-05 (RN 20-05), discussing recommendations of the Securities Industry/Regulatory Council on…

Type:

Date:

March 24, 2020

Issues:

Letters, Legal & Compliance

Proposed Sales Practice Rules for Leveraged / Inverse Investment Vehicles

SIFMA provided comments to the SEC on the proposed new Rule 15l-2 under the Securities Exchange Act of 1934 relating…

Type:

Date:

March 11, 2020

By:

Kevin Carroll and Jillian Enoch

Issues:

The Individual Investor, SEC Regulation Best Interest, Private Client & Wealth Management, Pennsylvania + Wall, Legal & Compliance

SIFMA Survey Highlights Industry’s Regulation Best Interest Implementation Efforts

Regulation Best Interest – finalized by the Securities and Exchange Commission last year and fully enforceable in June– significantly and…

Type:

Date:

February 21, 2020

Issues:

The Individual Investor, SEC Regulation Best Interest, Private Client & Wealth Management, Press Releases, Legal & Compliance

SIFMA Statement on Massachusetts Fiduciary Rule

Washington, D.C., February 21, 2020 – SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and…

Type:

Date:

January 29, 2020

By:

Kenneth E. Bentsen, Jr.

Issues:

Podcasts, Legal & Compliance, Capital Markets, AML & Financial Crime

Podcast: AML- Safeguarding Our Markets

With a sustained commitment to addressing the risk of money laundering and financial crime through securities firms, as well as…

Type:

Date:

December 9, 2019

By:

Kevin Carroll

Issues:

Pennsylvania + Wall, Legal & Compliance

Securities Arbitration System Works Effectively and to the Benefit of Investors

A debate is underway in Congress about whether to change the decades-old securities arbitration system for dispute resolution to prohibit…

Type:

Date:

August 2, 2019

Issues:

Privacy & Data Protection, Letters, Legal & Compliance

Standards for Safeguarding Customer Information

SIFMA, Bank Policy Institute (BPI)-BITS, and the American Bankers Association (ABA) joint comments to the Federal Trade Commission (FTC) regarding…

Type:

Date:

March 21, 2019

By:

Clara Shih

Issues:

The Individual Investor, Private Client & Wealth Management, Pennsylvania + Wall, Legal & Compliance

Text Messaging Under SEC Scrutiny: Watch for These 3 Things

In December of 2018, the Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert to “remind advisers of…

Type:

Date:

March 1, 2019

Issues:

Letters, Legal & Compliance

Proposal to Amend Portions of Georgia’s Registered Person Examination/Licensing Rule

SIFMA and the Association of Registration Management, Inc. (ARM) provide comments to the Office of the Georgia Secretary of State…

Type:

Date:

February 4, 2019

Issues:

Speeches, Legal & Compliance, AML & Financial Crime

Remarks as Prepared for SIFMA’s 2019 Anti-Money Laundering & Financial Crimes Conference

Good morning, and welcome to SIFMA’s Annual Anti-Money Laundering & Financial Crimes Conference. We’ve been gathering this group together for…

Type:

Date:

April 24, 2017

Issues:

Legal & Compliance, Legal & Compliance

Legal & Compliance

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SIFMA is the voice of the U.S. securities industry. We advocate for effective and resilient capital markets.

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