Company: Securities Industry and Financial Markets Association

193 results found

Association says the current structure of the self-regulatory model is widely viewed to be outdated and in need of reform

Unemployment expected to remain at elevated levels

Over 500 people at 50 corporate and government organizations took part

U.S. industry is generally willing to bear costs in order to benefit retail clients, lobby group says

Piwowar and Stein would replace Paredes and Walter

U.S. securities industry trade group says there should also be uniform supervision of brokers and advisors

Industry association calls on regulators, compliance personnel and senior management to work together

Investors should know up front about any potential conflicts of interest

Bentsen appointed acting president and CEO U.S. industry association

  • January 8, 2013 January 8, 2013
  • 16:25

Costs from a new self-regulatory organization for investment advisors could force many small firms to close