SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on ways to facilitate and increase investor use of BrokerCheck information, FINRA Regulatory Notice 12-10. SIFMA believes that the information maintained in BrokerCheck must be accurate, clear, concise, and relevant to the investor, and must be balanced against member firms’ and their employees’ legitimate privacy interests, and expectations of fairness and balance.
SIFMA, Institute for Portfolio Alternatives (IPA), National Association for Fixed Annuities (NAFA), Small Business Investor Alliance (SBIA), U.S. Chamber of…
SIFMA sent comments to the New Jersey Bureau of Securities regarding the Fiduciary Duty of Broker-Dealers and Investment Advisers Proposed…
SIFMA provides comments to Financial Industry Regulatory Authority, Inc. (FINRA) on FINRA’s Regulatory Notice 19-12, “FINRA Requests Comment on a…