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March 4, 2013
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News on the capital markets, securities and financial industry

  Morning Bell 
  • SEC seeks feedback over fiduciary plan
    The Securities and Exchange Commission has requested information from the public and the financial services industry pertaining to possible changes to brokers' fiduciary standards. The SEC is seeking information about the benefits and costs of different fiduciary mandates. "Gathering further data is the appropriate next step forward," said Ira Hammerman, SIFMA's general counsel. Read SIFMA's statement on the SEC's request for information. Reuters (3/1), AdvisorOne (3/1) LinkedInFacebookTwitterEmail this Story
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  Industry News 
  • Banks express concerns about consequences of regulations
    A Citigroup securities filing says a Dodd-Frank Act provision forcing overseas branches to comply with U.S. derivatives rules might cost the bank customers. Clients "have expressed an unwillingness to continue to deal with overseas branches of U.S. banks if the rules would subject them to these requirements," according to Citigroup. Meanwhile, Goldman Sachs says ring-fencing subsidiaries would force the bank to hold more capital. Bloomberg (3/1)
  • Goldman continued to rein in risk last year
    Goldman Sachs Group's risk levels last year were the lowest they have been since 2005, and it saw no days with trading losses of $75 million or more. Goldman did, however, see the number of days with trading gains of at least $100 million decrease from 54 to 41. Reuters (3/1) LinkedInFacebookTwitterEmail this Story
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  Washington Roundup 
  • QE3 is going smoothly, Fed's Potter says
    The Federal Reserve's third round of quantitative easing hasn't disrupted the markets, said Simon Potter of the Federal Reserve Bank of New York. "So far, there seems to be little evidence that the current pace of purchases is straining the market's ability to deliver securities to us," Potter said. Reuters (3/1) LinkedInFacebookTwitterEmail this Story
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  Hot Topics 

Top five news stories selected by SIFMA SmartBrief readers in the past week.

  • Results based on number of times each story was clicked by readers.
  SIFMA News 
  • Latest SIFMA Research: U.S. Research Quarterly and U.S. Foreign Activity
    SIFMA Research released its U.S. Research Quarterly, Q4 2012 containing brief commentary and statistics on the U.S. capital markets. Total securities issuance rose in the fourth quarter of 2012, and increased 16.5% from 2011 to 2012. Gains by dollar amount were concentrated in mortgage-related and corporate issuance. In addition, SIFMA Research issued its U.S. Foreign Activity Report, 2012 Q4, which includes data on purchases and sales of U.S. securities by foreign investors and U.S. purchases and sales of foreign securities. Quarter over quarter, gross U.S. transactions in foreign securities increased 12% and gross foreign transactions in U.S. securities decreased 5%. LinkedInFacebookTwitterEmail this Story
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The man who insists upon seeing with perfect clearness before he decides, never decides. Accept life, and you must accept regret."
--Henri Frédéric Amiel,
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