Regulatory Reform

SIFMA advocates for meaningful reform on a wide range of important issues facing our economy and country.

• Dodd-Frank Rulemaking ›
• Systemic Risk ›
• Basel III ›
• OTC Derivatives ›
• Volcker Rule ›

• View All Regulatory Reform Issues ›

Savings and Retirement

Strong savings and retirement investments and regulations help insure financial stability and security.

• DOL Fiduciary Standard ›
• Senior Investor Protection ›
• State Run Retirement Plan Proposals ›
• Retirement Plans and Participation ›
• Retirement Plan Fee Disclosure ›

• View All Savings and Retirement Issues ›

Tax

Taxes impact the savings and investment decisions of businesses, investors and families.

• Tax Reform ›
• Cost Basis Reporting ›
• Capital Gains/Dividends ›
• Foreign Account Tax Compliance Act (FATCA) ›
• Financial Transaction Tax ›

• View All Tax Issues ›

International Policy

SIFMA continues to push for global coordination and harmonization of regulatory reform efforts.

• Cross Border Regulatory Reform ›
• Trade and Investment ›
• Transatlantic Trade and Investment Partnership ›
• G-20 ›
• Reform in China ›

• View All International Policy Issues ›

Capital Markets

Businesses go to the capital markets to help them get the capital they need to grow and expand.

• Securitization ›
• Municipal Securities ›
• Equity Markets ›
• Listed Options ›
• Corporate Credit ›

• View All Capital Markets Issues ›

Private Client

Retail investors look to industry professionals for advice to help them achieve their financial goals.

• Best Interest Standard ›
• Mutual Fund Distribution Fees (12b-1) ›

Legal, Compliance and Administration

Regulations, guidelines and procedures that promote industry transparency and accountability.

• Anti-Money Laundering Compliance ›
• CARDS ›
• Consolidated Audit Trail (CAT) ›
• Electronic Records, Communications and Social Media ›
• Expert Networks ›

• View All Legal, Compliance and Administration Issues ›

Operations and Technology

Efficient technology and operations provide reliable infrastructures and promote innovation.

• Cybersecurity ›
• Shortened Settlement Cycle ›
• Legal Entity Identifier ›
• Large Trader Reporting ›
• Unclaimed Property ›

• View All Operations and Technology Issues ›