The written testimony of Jerry Lombard, President of the Private Client Group at Janney Montgomery Scott LLC, on behalf of SIFMA before the U.S. House of Representatives Committee on Financial Services Subcommittee on Capital Markets, Securities, and Investment at a hearing entitled “Impact of the DOL Fiduciary Rule on the Capital Markets.”
Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…