SIFMA

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  ‘Volcker Rule’ Proposal Approved by FDIC; Wall St. Fumes

  By James J. Green, AdvisorOne  |  October 11, 2011

  Wall Street firms decry proposed rules to take effect in July 2012; FDIC will accept comments until Jan. 13.

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  As NASAA’s New President, My Top Priorities: SRO and ‘The Switch’

  By Jack Herstein, NASAA  |  October 3, 2011

  It looks like Rep. Bachus’ draft SRO bill would nationalize the regulation of small- and mid-sized advisors. NASAA believes this would be a costly mistake that will not benefit Main Street investors.

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  When Is a Broker Not a Broker? When Their Clients Believe They Are Getting Advice

  By Bob Clark, AdvisorOne  |  September 6, 2011

  Reader comments on the WSJ's take on a fiduciary standard and retirement plans prompt a thoughtful response from Mr. Clark

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  MSRB Proposes Fiduciary Duty for Municipal Advisors

  By James J. Green, AdvisorOne  |  August 23, 2011

  Proposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'

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  New Institute to Educate, Advocate on Fiduciary Standard

  By James J. Green, AdvisorOne  |  August 23, 2011

  Led by Knut Rostad, a group of advisors and industry leaders form a permanent fiduciary education, research and advocacy think tank.

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  Dodd-Frank and Fiduciary: Why I’m Depressed; What to Do

  By Harold Evensky  |  July 21, 2011

  Wall Street’s apparent success in ‘Reforming the Reform’ may well leave a true fiduciary standard behind. So, what to do?

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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.

• SIFMA Panel Discusses Fiduciary Duty for Brokers

  By Kathleen McBride, AdvisorOne  |  July 16, 2010

  Emotions were running high at the final breakout session of the day at the SIFMA Regulatory Reform Summit in New York.

• SIFMA Regulatory Reform Summit Opens With Neal Wolin as Keynote

  By Kathleen McBride, AdvisorOne  |  July 15, 2010

  In an ironic coincidence, SIFMA's Regulatory Reform Summit opened Thursday, July 15, a day that sweeping reforms of America's financial system are expected to be approved by the Senate.

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  Coming Together: The Fiduciary Standard and the NFL

  By Knut A. Rostad  |  July 13, 2010

  Can two standards of conduct be "harmonized" as successfully as were the old AFL and NFL?