Company: Securities Industry and Financial Markets Association

189 results found

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

Proposed CFTC rule would impact markets by “reducing liquidity and increasing price volatility”

Best practices provide guidance in complying with existing laws and regulations, and avoiding the appearance of impropriety

  • September 30, 2011 September 30, 2011
  • 07:35

The Securities Industry and Financial Markets Association’s Economic Advisory Roundtable has lowered its forecast for U.S. economic growth.In its latest forecast, the SIFMA roundtable predicts that the economy will grow at 2.8% in 2010 and 2.6% in 2011. This outlook is weaker than at mid-year, when it predicted growth of 3.3% and 3.1% in 2010 […]

SIFMA seeks balance, Taft says