Invested in Our Clients

SIFMA’s membership is remarkably varied in size, geographic location and business model. Our members range from the largest global players to small independent firms across the united states. It’s this variety of member firms that makes SIFMA a leading authority on the markets. As varied as the SIFMA membership is, in the work that we do, our guiding principle is the same: clients first.

SIFMA members play a key role in the U.S. economy: We provide much-needed financing to users of capital, we fund innovation and growth, we provide funding for infrastructure, and we help hard-working Americans save for their long-term goals.

Jim Allen on Clients First

We are now on the back end of the most significant regulatory overhaul since the 1930s. SIFMA has been extremely focused on ensuring regulations enhance the safety and soundness of our markets, while also trying to ensure the rules don’t go too far and end up constricting economic growth and consumer credit.

We must continue balancing efforts to reduce systemic risk and protect clients with the need to ensure well-functioning markets and efficient allocation of capital in the U.S. and globally. It’s also vital that our industry designs policies to keep pace with a rapidly evolving, technology-driven marketplace to meet our clients’ needs.

Our clients have always come first in every decision we make. That will never change. In my role as Chair, I’ll be focusing on three main themes which have long been a priority of our industry: a client-first focus, reinforcing the Main Street message/connection with clients and the communities we serve, and how SIFMA’s priorities enhance and improve the client experience and investor protection. These include importantly establishment of a best interest standard, investor data protection and senior investor protection.

It is an honor and a privilege to serve our clients and our industry as Chair of SIFMA in the year ahead.


James R. Allen is Chairman and CEO of Hilliard Lyons and Chair of SIFMA’s 2019 Board of Directors. For more from Jim on SIFMA’s priorities in 2019, watch Invested in Our Clients.