Securities Industry and Financial Markets Association

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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.

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  Four More Years? Fiduciary Proponents Need to Regroup

  By Knut A. Rostad  |  January 10, 2013

  To prevent four more years of fiduciary gridlock in Washington, proponents of the fiduciary standard for all need to regroup. Proposed: four steps to change the discussion.

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  SIFMA CEO Tim Ryan Leaves for JPMorgan

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Tim Ryan, SIFMA president and CEO, resigned Tuesday after being named global head of regulatory policy and strategy at JPMorgan Chase.

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  New SEC Chairwoman Walter Appoints Two Acting Directors

  By Melanie Waddell, AdvisorOne  |  December 17, 2012

  During her first day as the new chairman of the SEC, Elisse Walter appointed two acting directors, one to the Division of Corporation Finance and the other to Trading and Markets.

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  11 Senators Unite on Resolution to Protect Retirement Tax Incentives

  By Melanie Waddell, AdvisorOne  |  December 7, 2012

  With fiscal cliff negotiations putting tax incentives for retirement savings potentially on the chopping block, 11 senators have voiced their support for the employer-based retirement system by joining forces on a Sense of the Congress resolution.

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  New Hire Roundup: Layton to Run Neuberger Berman Wealth Group; New SIFMA Board Member

  By Marlene Y. Satter, AdvisorOne  |  December 6, 2012

  This week in new hires, Neuberger Berman announced that Brian Layton would head its Boston wealth management group; Paul Gamble was promoted at Financial Engines; and SIFMA announced that Kim Tillotson Fleming was named to its board.

• SIFMA Elects New Officers to Municipal Securities Division

  By Melanie Waddell, AdvisorOne  |  November 2, 2012

  Stratford Shields of Morgan Stanley & Co. will serve as division chair, and Frank Fairman of Piper Jaffray & Co. and David Stephens of Bank of America Merrill Lynch & Co. will serve as vice chairs.

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  Ahead of Hurricane Sandy, Markets Shut Up Shop

  By Joyce Hanson, AdvisorOne  |  October 29, 2012

  Both the NYSE and Nasdaq were closed Monday due to the superstorm, though electronic trades continue on Arca, and SIFMA recommends bond market closure.

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  Breach of Fiduciary Duty Most Common FINRA Complaint

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.