Tag: SIFMA

Industry experts say financial advisers can adopt social media techniques that emphasize their knowledge, their engagement and their accessibility to...

As of Monday’s public comment deadline, more than 80,000 comments were submitted.

The Department of Labor will offer more legal briefs and ‘lead with compliance assistance,’ according to Deputy Secretary of Labor...

Critics say the proposal recommended to states goes beyond the SEC’s Reg BI and endangers annuity products and educational materials.

Requiring registered advisers to follow state-level ESG disclosure rules violates federal law, according to SIFMA’s lawsuit.

SIFMA supports passage of the bill that would require publicly listed firms to disclose the gender, ethnic and racial composition...

The group thinks the state should wait on the SEC’s Best Interest Standard and that its proposed statewide fiduciary rule would drive investors away from brokerage accounts.