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
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
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