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SIFMA lambastes SEC decision
Wall Street's trade group today blasted the SEC's decision allowing the broker-dealer rule to expire.
SIFMA hires managing director and counsel
The Securities Industry and Financial Markets Association has engaged Kevin M. Carroll as managing director and associate general counsel.
Consumers want choice, says SIFMA survey
Investment options for consumers will be dramatically limited if the Securities and Exchange Commission doesn’t appeal the recent rejection of the broker-dealer rule, according to a survey of investors released by the Securities Industry and Financial Markets Association today.
SIFMA calls for international convergence
As President Bush hosted the annual U.S.-EU Summit in Washington today, the Securities Industry and Financial Markets Association released a statement calling for international regulatory convergence in the financial services industry.
SRO to take time harmonizing rule book
Do not look for NASD to immediately begin revamping its rule book once it merges with NYSE Regulation, said Douglas Shulman, vice chairman of NASD, this morning.
Appeal Merrill rule decision, says SIFMA
Wall Street's largest trade group wants the Securities and Exchange Commission to appeal the recent decision by the U.S. Court of Appeals for the District of Columbia that overturned the controversial broker-dealer exemption rule.
Structured-product sales guidelines floated
Guidelines for the sale of structured products to retail investors have been proposed by the Securities Industry and Financial Markets Association of New York and four other global securities industry trade groups.
Monday Morning: Balmy Boca carries message of renewal
Reflections from the the Securities Industry Association annual meeting.
