Securities Industry and Financial Markets Association

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  Too-Big-to-Fail Bill DOA: Commentators

  By Melanie Waddell, AdvisorOne  |  April 24, 2013

  Washington Analysis says the “headlines, hearings and speeches” around the measure will amount to “mere noise,” while SIFMA says the bill would dampen business lending.

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  Online Sales Tax Bill Seen as Rife With Unintended Consequences

  By Melanie Waddell, AdvisorOne  |  April 23, 2013

  Lawmakers and officials from the retirement planning and securities industries are coming out against an online financial transaction tax bill that they say would hurt retirement savers, small businesses and investors.

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  Wirehouses Embrace FINRA Broker Bonus Plan

  By Melanie Waddell, AdvisorOne  |  March 14, 2013

  Three wirehouses have given their OK to FINRA’s plan to require that brokers’ recruitment packages be disclosed when they switch firms.

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  FINRA’s Broker Bonus Rule Seen as ‘Done Deal’ With SIFMA OK

  By Melanie Waddell, AdvisorOne  |  March 6, 2013

  Securities lawyer Patrick Burns told AdvisorOne that with SIFMA's support, the “proposal’s chances of becoming a new rule seem to be a done deal.”

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  FINRA Goes for Round Two on Membership Rule Changes

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  FINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.

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  FINRA Seeks Second Round of Comments on Markups, Commissions Plan

  By Melanie Waddell, AdvisorOne  |  February 5, 2013

  After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.

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  New Hire Roundup: Caiazzo Chairs SIFMA’s Clearing Firms Committee

  By Marlene Y. Satter, AdvisorOne  |  January 23, 2013

  Christian Sulger-Büel became managing director of FOX International, and Bill Mitchell was named senior portfolio manager at WHM Capital Advisors.

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  SEC’s New Chief: Dodd-Frank, JOBS Act Top SEC’s Priority List

  By Melanie Waddell, AdvisorOne  |  January 21, 2013

  SEC Chairwoman Elisse Walter said Friday that despite the current “2-2 divide” among the agency’s commissioners, she’s confident that they “are eager to find common ground.”

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  SEC to Take Another Step Toward Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  January 16, 2013

  The SEC plans to issue a “concept release,” which will also likely include a request for information, in the first quarter regarding its rule to put brokers under a fiduciary mandate, Ken Bentsen of SIFMA said Wednesday.