SIFMA Statement on FINRA Member Engagement Special Notice

SIFMA Statement on FINRA Member Engagement Special Notice

 Washington, DC, March 21, 2017 – SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO on FINRA’s Special Notice seeking comments on engagement programs:

“We commend FINRA’s initiative to engage with the industry, and all stakeholders, to solicit feedback and foster an environment to improve its important role as a self-regulatory organization.  SIFMA looks forward to providing thoughtful comments and input reflecting our members’ concerns and feedback.”

-30-

SIFMA is the voice of the U.S. securities industry. We represent the broker-dealers, banks and asset managers whose nearly 1 million employees provide access to the capital markets, raising over $2.5 trillion for businesses and municipalities in the U.S., serving clients with over $18.5 trillion in assets and managing more than $67 trillion in assets for individual and institutional clients including mutual funds and retirement plans. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA). For more information, visit http://www.sifma.org.