Topic
SIFMA
45 published works
Securities Compliance Sentinel
A Framework Proposed for the Uniform Fiduciary Duty
By Joshua Horn
In January 2001, the Securities and Exchange Commission (“SEC”) recommended the implementation of a uniform fiduciary duty standard for broker-dealers and registered investment advisors. Significant debate has followed regarding the…
Securities Law Prof Blog
SIFMA on SEC Staff’s Fiduciary Duty Study
Here's SIFMA's statement on the SEC Staff's Study on Investment Advisers and Broker Dealers. Bottom line -- it pretty much got what it wanted.“SIFMA applauds the SEC in conducting this…
Pension Risk Matters
SIFMA Study Intimates Fiduciary Standard Cracks
Hot off the press, a study commissioned by the Securities Industry and Financial Markets Association ("SIFMA") questions whether a uniform fiduciary standard of care makes sense. Conducted by Oliver Wyman…
Securities Law Prof Blog
SIFMA Releases Impact Assessment Survey of Uniform Standard of Care for BDs and IAs
According to a study commissioned by SIFMA, retail investors would see reduced product and service availability and higher costs under a uniform standard of care for investment advisers and broker…
Corporate and Securities Law
Notice Requirements for Broker-Dealers
Securities Law Prof Blog
SIFMA Releases Systemic Risk Information Study
The Securities Industry and Financial Markets Association (SIFMA) today released the results of a study intended to assist regulators and policymakers in preparing for expanded systemic risk oversight and enhance…
Securities Law Prof Blog
Financial Firms Pay Big Bucks to Lobby Congress
Investment News reports on the big bucks paid by financial firms in the second quarter on lobbying Congress. SIFMA paid $1.25 million, the Investment Company Institute paid $1.23 million, and…
Pension Risk Matters
Retirement Plan Pundits Address Conflicts of Interest
On March 24, 2009, various experts gave testimony before the U.S. House of Representatives Committee on Education & Labor, Health, Employment, Labor and Pension Subcommittee about potential conflicts of interest in…
Legal Profession Blog
Legal Ethics in Financial Services: CLE in New York City June 3
The Securities Industry and Financial Markets Association, SIFMA, offers a 2-hour CLE Legal Ethics Workshop on Tues., June 3, 2008, in New York City. It focuses on ethical considerations for…
Securities Law Prof Blog
SEC Staff Will Propose Interim Rule on Principal Trading by Dual Registrants
SIFMA has posted on its website an outline of proposed principal trading relief that it says the SEC staff has indicated it would recommend that the SEC adopt on an…