Regulatory Issues
Our nation’s securities markets are the most transparent, liquid, and dynamic in the world. Competition, technological advances, globalization, and broader investor participation have driven phenomenal changes in the capital markets and the securities industry over the past decade. Our markets’ advantages are grounded in their structural framework. SIFMA works with Congress, the SEC, the SROs, and all involved parties to ensure that our markets retain their strength.
See what we're working on, find resources and documents available for these focus areas:
- Agency Lending Disclosure
- Anti-Money Laundering Compliance
- E-Mail & Electronic Records
- Fee-Based Accounts
- Gramm-Leach-Bliley
- Hedge Funds
- Market Structure - Regulation NMS
- Options Markets
- Outsourcing
- Privacy and Data Protection
- Regulatory Consolidation - SRO Reform (FINRA Resource Center)
RAND Corporation - IA/BD Study SIFMA Responds to SEC’s RAND Study - January 3, 2008 Frequently Asked Questions (FAQs) regarding the study available here (pdf) - June 2007 |
