Securities Industry And Financial Markets Association

The plaintiffs, the U.S. Chamber of Commerce, Financial Services Institute, Financial Services Roundtable, Insured Retirement Institute and Securities Industry and Financial Markets Association, said in a statement that "the 5th Circuit got it right in its March 15, 2018, opinion." Backers of the rule note that ...

The congressional campaign of Republican Mick Mulvaney — former U.S. House member from South Carolina and director of the Office of Management and Budget who was appointed acting director of the Consumer Financial Protection Bureau — relied on hundreds of contributions from political action ...

The Securities Industry and Financial Markets Association (SIFMA), along with a host of other public market advocates, published a paper yesterday urging policy makers to take action and address the decline of public companies. SIFMA stated the obvious that the decline in public companies creates fewer ...

In a joint statement Thursday, the Chamber, Financial Services Institute, Financial Services Roundtable, Insured Retirement Institute and Securities Industry and Financial Markets Association said the 5th Circuit got it right when it struck down the rule. “We will oppose any motion to intervene in this case at ...

Law360 (April 26, 2018, 8:39 PM EDT) -- Aiming to reverse a decline in initial public offerings, Wall Street trade group the Securities Industry and Financial Markets Association and several partners published a slew of reform recommendations Thursday aimed at making public markets more attractive to companies.

The Securities Industry and Financial Markets Association (SIFMA), the trade group for the financial industry, released a framework on Thursday (April 12) to protect the data of consumers when they give third parties the right to access that information. Reuters, citing SIFMA, reported the trade group said that while these third ...

The SMG, a national program created by the Securities Industry and Financial Markets Association (SIFMA), is coordinated in Minnesota by BestPrep, a local non-profit. Twice a year, InvestWrite invites students to submit essays responding to a writing prompt related to the financial and strategic concepts ...

By contrast, JPMorgan recently agreed to pay $75 million to settle a lawsuit accusing it of adopting an overly risk investment strategy for its stable value fund. This victory for CVS is also a victory for the U.S. Chamber of Commerce and the Securities Industry and Financial Markets Association, both of which ...

The U.S. Securities Industry and Financial Markets Association recommends an early close at 2 p.m. Eastern on Thursday for all U.S. dollar-denominated government TMUBMUSD10Y, -0.06% and other fixed-income securities. All major European stock exchanges will be closed on both days, including a ...

The Fifth Circuit Court of Appeals ruling “hasn't affected the way I'm approaching this” fiduciary rulemaking at the SEC, Clayton was quoted as telling a question-and-answer session at the Securities Industry and Financial Markets Association's annual compliance conference, according to ThinkAdvisor.com, ...

That's a decision I expect we'll be making this year," Mr. Cook said Tuesday at the Securities Industry and Financial Markets Association Compliance & Legal Society conference in Orlando, Fla. The move would be a further step in the "enhanced examination framework" that the broker-dealer self-regulator ...

Law360 (March 19, 2018, 9:48 PM EDT) -- The head of the U.S. Securities and Exchange Commission on Monday offered new snippets of what to expect from the agency's long-awaited plans to revise the fiduciary duty standard while also expressing exasperation with the slow rollout of the consolidated audit trail.

... consistent, and workable standard that does not limit choice for investors,” plaintiffs—including The U.S. Chamber of Commerce, Financial Services Institute, Financial Services Roundtable, Insured Retirement Institute, and Securities Industry and Financial Markets Association—wrote in a joint statement.

Put in place by the SEC in 2005, the Securities Industry and Financial Markets Association has recently called for it to be reviewed and updated since its effects were to fragment the market rather than foster competition. It is a good illustration of regulators successfully evolving – adapting regulation when its ...

Like Cohn and Warsh, she has held positions in finance including Fidelity Investments and the Securities Industry and Financial Markets Association (SIFMA), the voice of the U.S. securities industry as listed on her LinkedIn profile. During Wednesday's White House briefing, press secretary Sarah Sanders ...

The Securities Industry and Financial Markets Association, Bond Dealers of America, and the National Association of Municipal Advisors voiced their disapproval in comment letters filed with the commission this week. The MSRB filed the proposals -- amendments to G-21 for dealers and new Rule G-40 for ...

Axelrod, who was formerly the head of regulatory operations at FINRA, recently spoke during a luncheon for the Securities Industry and Financial Markets Association's Compliance and Legal Society in New York City. She announced on Oct. 26 that she would depart the self-regulator, after 28 years at ...

Nasdaq and other exchanges have invested billions of dollars to develop technology that helps investors and entrepreneurs succeed in today's global marketplace. However, a few Wall Street firms and their trade association, the Securities Industry and Financial Markets Association (SIFMA), are rehashing ...

We have to meet them," Ms. Tuteja said during a panel on social media and technology hosted by the Securities Industry and Financial Markets Association on Thursday. That's why TD recently announced it would allow customers to buy and sell stocks and ETFs using direct messages on Twitter — to ...

On February 12-13, 2018, members of the securities industry, regulators and financial crime experts met in New York City at the Securities Industry and Financial Markets Association (SIFMA) Anti-Money Laundering (AML) and Financial Crimes Conference to discuss current trends, regulatory issues and ...

The Securities Industry and Financial Markets Association (SIFMA) has testified to the US House of Representatives Committee on Financial Services Subcommittee on areas that could make regulations more risk-sensitive, less complex and clearer. The testimony, titled “Legislative Proposals Regarding ...

Citing Venezuela's recent introduction of the "petro" cryptocurrency as an example, Sigal Mandelker told the Securities Industry and Financial Markets Association Anti-Money Laundering and Financial Crimes Conference that rogue regimes, terrorists and others use cryptocurrencies to "exploit the financial ...

The New York Stock Exchange and Nasdaq will be closed on Monday. Meanwhile, the Securities Industry and Financial Markets Association (SIFMA) recommends no trading in dollar-denominated securities, including bonds, money markets and certificates of deposit. Trading in futures and options on CME ...

The Securities Industry and Financial Markets Association says about 19% of all advisors are women. The number of female Certified Financial Planners now stands at 18,758. A record 1,250 women were certified in 2017, representing close to 29% of all newly certified individuals. Launched in September ...

“Seventy-two hours later” after the 5th Circuit Court of Appeals struck down Labor's fiduciary rule, “it hasn't affected the way I'm approaching this” fiduciary rulemaking at the SEC, Clayton said during a question-and-answer session at the Securities Industry and Financial Markets Association's annual ...

WASHINGTON, D.C., March 15, 2018 - "The U.S. Chamber of Commerce, Financial Services Institute, Financial Services Roundtable, Insured Retirement Institute, and Securities Industry and Financial Markets Association released the following statement today on a decision in favor of the plaintiffs by the ...

You can make the case that it is hard to see,” said Ken Bentsen, chief executive officer of the Securities Industry and Financial Markets Association, a Wall Street lobbying group. The bill has a good chance of becoming law. The U.S. House and President Donald Trump are eager to pass legislation ...

Eve received first place in Massachusetts and third place in the nation in the Securities Industry and Financial Markets Association (SIFMA) InvestWrite essay contest for the fall of 2017. Eve wrote about how she would manage money for the non-profit Love Uganda Foundation. [Daily News Staff Photo/Ken ...

18, 2018, the staff of the SEC's Division of Investment Management issued a no action letter to two fund sponsors (the Investment Company Institute (ICI) and the Securities Industry and Financial Markets Association (SIFMA)) who had proposed registration of ETFs that would allow investors to trade shares ...

Our friends at a handful of the largest Wall Street firms and their trade association, the Securities Industry and Financial Markets Association (SIFMA), are rehashing years-old and long-settled claims that stock exchanges unfairly profit from the sale of market data. They argue this results in higher costs that ...