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Browse: Home / SIFMA

SIFMA

SIFMA Statement on the SEC’s Final Regulation Best Interest Rule

By Securities Docket on June 6, 2019, 7:43 am

“As written, the SEC’s Regulation Best Interest rule will impose a materially heightened standard of conduct for broker-dealers when serving retail clients. While principles-based, the rule is specific with respect to the duty and obligations brokers owe to their clients, and what steps they must take to comply, including the obligation to eliminate, or disclose […]

Posted in Industry, Top | Tagged Regulation Best Interest, SIFMA

Wall Street Trade Group Names New Leader – NYTimes.com

By Securities Docket on December 15, 2013, 9:12 am

A financial industry trade group, the Securities Industry and Financial Markets Association, has named  Kenneth E. Bentsen, Jr., its president, as chief executive. via Wall Street Trade Group Names New Leader – NYTimes.com

Posted in Industry, People, Top | Tagged SIFMA

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