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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

Higher Q1 trading revenue expected for banks

SIFMA SmartBrief | Mar 27, 2015

Liquidity crunch looms large over global bond markets

SIFMA SmartBrief | Mar 24, 2015

Analysis: SEC vote could hit high-frequency traders

SIFMA SmartBrief | Mar 25, 2015

Global FX code of conduct is introduced

SIFMA SmartBrief | Mar 24, 2015


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Mark your calendar: Ethics Webinar -- April 23

SIFMA SmartBrief | Mar 30, 2015

Program available: Next Generation of Financial Advisors Seminar -- May 20, NYC

SIFMA SmartBrief | Mar 30, 2015

New content in SIFMA's Thought Leader Library: First take -- CCAR Testing

SIFMA SmartBrief | Mar 30, 2015

SIFMA recommends early market close for Good Friday

SIFMA SmartBrief | Mar 30, 2015

Equity Market Structure Conference -- May 7, NYC

SIFMA SmartBrief | Mar 27, 2015




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