Securities Industry Financial Markets Association

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  SIFMA’s Ryan, Bentsen: Fiduciary, SRO Action on Horizon in 2012, but Not 12b-1

  By Melanie Waddell, AdvisorOne  |  January 13, 2012

  2012 will be the year of ‘finalizing’ Dodd-Frank implementation, adds SIFMA’s Ryan.

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  Why Schapiro’s ‘Business-Model Neutral’ Fiduciary Approach Shouldn’t Be News

  By Knut A. Rostad  |  December 12, 2011

  Despite the ruckus over SEC Chairman Schapiro's comments on a 'business-model neutral' fiduciary standard, it shouldn't be a big deal if SEC rule-making remains true to Dodd-Frank and the plain meaning of its plain language.

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  Baird Grabs 7 FAs, $700M From Morgan Stanley, Other Firms

  By Janet Levaux, AdvisorOne  |  November 17, 2011

  Baird said Wednesday that it had hired seven financial advisors with a total of about $717 million in assets under management from Morgan Stanley, Wells Fargo and two other firms.

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  SIFMA Recognizes Women’s Group at Baird, Other Firms

  By Janet Levaux, AdvisorOne  |  November 10, 2011

  The industry group shares awards with Baird, BNP Paribas, Goldman Sachs, BofA, Citi, Deutsche Bank and Credit Suisse for diversity programs.

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  SEC's Schapiro: More Money Market Reforms Coming

  By Melanie Waddell and Joyce Hanson, AdvisorOne  |  November 7, 2011

  The Securities and Exchange Commission plans to issue a proposed rule on money market funds 'in very short order,' said SEC Chairman Mary Schapiro on Monday, which would reduce the funds’ susceptibility to runs.

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  DOL to Repropose Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 19, 2011

  Bowing to pressure from members of Congress, industry groups, and the public, the Department of Labor’s EBSA said on Monday that it would repropose its controversial rule amending the definition of fiduciary under ERISA.

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  Top 4 Dodd-Frank Concerns as Law Enters Second Year

  By Melanie Waddell, AdvisorOne  |  July 21, 2011

  For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.

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  SIFMA Dodd-Frank Forum: Execs Surmise Outcome of Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  July 13, 2011

  July 21 not only marks the one-year anniversary of the passage of the Dodd-Frank Act, but it’s also the date when the SEC will turn its attention to creating a fiduciary duty rule for brokers.

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  2011: The Year the Advisors’ Playing Field Fundamentally Changes

  By Melanie Waddell, AdvisorOne  |  February 1, 2011

  All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission.