Securities Industry and Financial Markets Association

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  SIFMA names former Sen. Gregg as CEO

  By Melanie Waddell  |  May 20, 2013

  SIFMA announced Monday that former Sen. Judd Gregg has been appointed CEO and that Ken Bentsen, acting president and CEO, is now president.

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  Online transaction tax rife with unintended consequences

  By Melanie Waddell  |  April 23, 2013

  Lawmakers and industry officials say an online financial transaction tax bill would hurt retirement savers, small businesses and investors.

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  Top 5 retirement issues

  By Advisor One Editorial Staff  |  March 13, 2013

  Top players throughout the retirement industry give their take on the biggest issues in retirement planning

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  SEC issues public comment request on fiduciary rule

  By Melanie Waddell  |  March 4, 2013

  Nearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.

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  Industry girds for DOL fiduciary rule

  By Arthur D. Postal  |  January 29, 2013

  Agents and brokers continue to fear that the new regulation, if finalized, would eliminate commissions and "price out" many American IRA holders from affordable financial advice.

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  SEC to take another step toward fiduciary rule

  By Melanie Waddell  |  January 17, 2013

  The SEC plans to issue a “concept release” in the first quarter regarding its rule to put brokers under a fiduciary mandate.

• The impact of a universal fiduciary standard

  By Brian Anderson  |  August 1, 2012

  Few threats are scarier to the average independent life insurance producer than the potential banning of commission-based compensation for insurance product sales. And the prospect of adapting from a suitability standard of care to a fiduciary standard opens up another can of worms.

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  The impact of a universal fiduciary standard

  By Brian Anderson  |  July 30, 2012

  As it becomes more likely the SEC will impose a universal standard, independent producers have reason for concern.

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  FSI Fires Back on DOL's 'Disappointment' with Industry Data Collection

  By Elizabeth Festa  |  July 10, 2012

  The FSI's letter is a direct response to the June 20 letter from Phyllis Borzi to Congressmen, Education and Workforce Committee Chair John Kline, R-Minn., and Ranking Member George Miller, D-Calif.

• Waters Tries to Ice SRO Bill

  By Arthur D. Postal  |  July 1, 2012

  Legislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.