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Latest News
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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SEC Chair highlights competition in capital markets in speech
Thought-provoking remarks following the speech suggest treasury market reform a key focus for the SEC, while books and record requirements remain non-negotiable.
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Anti-ESG push suffers setback as federal court judges Missouri investment rules unconstitutional
The rules were enjoined on First Amendment, unconstitutional vagueness, and federal preemption grounds.
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SEC issues risk alert on T+1 transaction settlement cycle
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
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SIFMA 2024: Off-channel communications strategies and solutions
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
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SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
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SIFMA issues State of the Industry Briefing, FINRA recaps on Reg BI
Trade association assesses market trends while regulator pulls together guidance on Reg BI.
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SIFMA: NASAA’s proposed revisions to its BD model rule conflict with Reg BI
SIFMA submits a sternly worded comment letter to NASAA on its proposed revisions to its model rule related to broker-dealer business conduct.