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Anti-ESG push suffers setback as federal court judges Missouri investment rules unconstitutional
The rules were enjoined on First Amendment, unconstitutional vagueness, and federal preemption grounds.
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SEC issues risk alert on T+1 transaction settlement cycle
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
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SIFMA 2024: Off-channel communications strategies and solutions
At the SIFMA annual conference event last week, off-channel communication recordkeeping challenges and possible solutions proved to be a popular panel topic.
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SIFMA 2024: Panelists tackle SEC proposal on predictive analytic tools
Sharp differences emerged during discussion on neutralizing conflicts of interest created by algorithms.
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SIFMA issues State of the Industry Briefing, FINRA recaps on Reg BI
Trade association assesses market trends while regulator pulls together guidance on Reg BI.
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SIFMA: NASAA’s proposed revisions to its BD model rule conflict with Reg BI
SIFMA submits a sternly worded comment letter to NASAA on its proposed revisions to its model rule related to broker-dealer business conduct.
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DOL retirement security proposal to update fiduciary standard under ERISA
The new proposal would require a wider array of advisers to achieve high standards of care and loyalty when making investment recommendations.
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SIFMA sues Missouri Securities Division over new state rule
SIFMA filed a lawsuit to counter a new Missouri rule requiring financial firms to obtain client signatures before providing advice incorporating social or nonfinancial objectives.