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SIFMA
SIFMA rolls out new guidelines on data protection
Collaboration is key to the effort since there “is no competitive advantage to be the only firm engaged in data protection."
With fiduciary rule seemingly KO'd, what do firms do now?
Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.
Fiduciary rule, RIP? Fate looks dim after court overturns regulation
Focus turns to the SEC as it considers creating its own higher standard of client care.
Fiduciary rule survives another court challenge, but victory may be hollow
With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.
SEC may soften stance on U.S. trading database, SIFMA says
The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.
Fiduciary delay to prolong already lengthy debate
The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.
SEC rejects last-minute push to delay market-surveillance system
Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.
DoL sets fiduciary rule delay in motion
The department's proposal furthers efforts to undo the controversial regulation.
How the fiduciary debate between SEC and DoL is shaking out
Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.
FINRA gets nod to streamline competency exams
The change could alleviate firms’ recruiting worries that they must pay trainees to spend the first few months studying.
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