Securities Industry

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  Muni Bonds’ Tax-Exempt Status Threatened in Fiscal Cliff Talks

  By Melanie Waddell, AdvisorOne  |  November 27, 2012

  Members of the newly formed Municipal Bonds for America descended on Capitol Hill on Tuesday to protect the tax-exempt status of municipal bonds.

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  Obama vs. Romney on Regulation: DOL Fiduciary DOA? Yes or No to SRO? Borzi Gets Boot?

  By Melanie Waddell, AdvisorOne  |  October 18, 2012

  While the regulatory and legislative landscapes remain sketchy until after the election, industry officials say there are some sure bets advisors can count on.

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  Allow E-Disclosures, Retirement Plan Coalition Urges DOL

  By Danielle Andrus, AdvisorOne  |  March 28, 2012

  On Tuesday, a coalition of interested parties took to their pens to urge the Department of Labor to allow plan sponsors to make required disclosures electronically.

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  SIFMA to Play 'Active Role' in Guiding Dodd-Frank Implementation, CEO Ryan Says

  By Melanie Waddell, AdvisorOne  |  January 18, 2011

  2010 was the year that produced Dodd-Frank, but 2011 will be the year when “many of the questions that are outstanding as to how financial services will be changed” will be answered, said Tim Ryan, CEO of SIFMA.

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  What the Uniform Fiduciary Standard Will Not Be

  By Knut A. Rostad  |  October 27, 2010

  SIFMA CEO Tim Ryan says matter-of-factly: the "uniform" fiduciary standard that the Securities and Exchange Commission (SEC) is working on will not be the fiduciary standard under the Advisers Act of 1940, because, he opined, we have to have a standard that will "work for everyone."

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  SIFMA's Ryan: Financial Industry, Regulators Face 'Unprecedented Task' Under Dodd-Frank

  By Melanie Waddell, AdvisorOne  |  October 26, 2010

  Ryan: a fiduciary standard for brokers will likely be a "modified '40 Act standard" that incorporates additional disclosures. But it will be "disclosure that's understood."