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White paper highlights thorough regulation of brokers

SIFMA SmartBrief | Mar 24, 2015

SIFMA released a white paper on Monday that shows the Securities and Exchange Commission and the Financial Industry Regulatory Authority already "thoroughly" regulate brokers. The white paper by law firm Morgan Lewis & Bockius also asserts that the White House didn't adequately consider the effectiveness of current rules when it proposed subjecting brokers who offer retirement savings advice to a fiduciary standard. "The [White House Council of Economic Advisers] memorandum really omitted and incorrectly portrayed the regulatory framework as it exists today and has existed, as Morgan Lewis points out, for really 100 years," SIFMA President and CEO Kenneth E. Bentsen Jr. said. Read SIFMA's media release. Read the white paper. Bloomberg (03/23) InsuranceNewsNet online (03/23) InvestmentNews (free registration) (03/23)


SEC should work with Labor on fiduciary rule, GOP tells White

SIFMA SmartBrief | Mar 25, 2015

SEC calls for FINRA registration of prop-trading firms

SIFMA SmartBrief | Mar 26, 2015

SIFMA's AMG says money managers, funds do not pose systemic risk

SIFMA SmartBrief | Mar 26, 2015

Wall Street talent moves to Silicon Valley

SIFMA SmartBrief | Mar 25, 2015

Broker advocates call PIABA's findings flawed

SIFMA SmartBrief | Mar 27, 2015

Volcker wants financial regulators consolidated

SIFMA SmartBrief | Mar 23, 2015

SIFMA urges SEC to not authorize non-dealer MAs as muni agents

SIFMA SmartBrief | Mar 23, 2015

Liquidity crunch looms large over global bond markets

SIFMA SmartBrief | Mar 24, 2015

Survey: 4 of 5 investors warn bonds are overvalued

SIFMA SmartBrief | Mar 23, 2015


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