Displaying 70 results
SIFMA endorses Bush’s tax-cut plan
The Securities Industry and Financial Markets Association has endorsed President George W. Bush 2009 budget proposal.
Survey: Bond issuance to spike in 1Q
Treasury bill, note and bond issuance is expected to climb to $125 billion during the first quarter of this year.
SIMFA names T. Timothy Ryan CEO
Mr. Ryan was previously the vice chairman of Investment Banking for Financial Institutions and Governments at JPMorgan Chase and a was member of its Investment Banking Coverage Management Committee.
Fixed-income issuance to fall to $3.4 trillion
That’s a 15% decrease from the estimated $4.0 trillion issued last year, according to a SIFMA forecast.
FINRA wants delay in VA-sale rule
After an outcry from member B-D firms, FINRA proposed pushing back a section of the rule to Aug. 4.
FINRA pushes expungement rule
The new rule could make it harder for brokers to expunge complaint information from their regulatory records.
Nazareth: Mutual recognition bad for retail
Allowing foreign brokerage firms to do business directly with U.S. investors would raise “serious investor protection concerns,” said SEC Commissioner Annette Nazareth.
Firms have fighting chance with FINRA
B-Ds facing litigation from FINRA might be better off fighting rather than settling, according to a study.
SIFMA calls for Columbus Day close
On Oct. 8, SIFMA recomments a full-market close on U.S. dollar-denominated securities in the United Kingdom.
Securities issuance hits $3.75 trillion
Securities issuance hit $3.57 trillion in the first half of the year, up 10.4% from last year, according to SIFMA.
