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,…
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…
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.…
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…
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…
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…
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…
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…
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!
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…
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.…
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,…
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.…
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…
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…
Full Committee Markup of S.2860, the SAFER Banking Act
Senate Committee on Banking, Housing, and Urban Affairs Full Committee Markup Wednesday, September 27, 2023 Topline The Senate Committee on…
Artificial Intelligence in Financial Services
Senate Committee on Banking, Housing, & Urban Affairs Artificial Intelligence in Financial Services Wednesday, September 20, 2023 Topline Members from…
House Committee on Education and the Workforce Markup of ERISA Bills H.R.5339, H.R.5337, H.R.5338, H.R.5340
House Committee on Education & the Workforce Markup of H.R.5339, H.R.5337, H.R.5338, H.R.5340 Thursday, September 14, 2023 Topline Markup of…
Implementing Basel III: What’s the Fed’s Endgame
House Financial Services Committee Subcommittee on Financial Institutions and Monetary Policy Implementing Basel III: What’s the Fed’s Endgame Thursday, September…
Achieving Sensible AI Regulation
The proliferation of AI tools and rapid pace of AI adoption have led to calls for new regulation at all…
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…
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…
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…
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…
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…
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!
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.…
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…
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.,…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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.…
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…
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…
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…
Congratulations, Ira!
When SIFMA EVP and General Counsel Ira Hammerman announced his retirement at the end of 2022, we knew he needed…
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…
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…
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 &…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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,…
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…
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%…
e-Delivery Report
Modernizing the Regulatory Communications Framework to Meet Investor Needs for the 21st Century September 2020 SIFMA, SIFMA AMG, The…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…
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…