Sentences with phrase «financial industry trade association»

Ira Hammerman, general counsel for SIFMA, the financial industry trade association, says that «fiduciary» has varying meanings, depending on the state.

Not exact matches

«It didn't all happen at once - each attack affected firms differently,» said Karl Schimmeck, vice president of Financial Services Operations at the Securities Industry and Financial Markets Association (SIFMA), a Wall Street trade group that oversaw the event in conjunction with Deloitte & Touche LLP.

The Securities Industry and Financial Markets Association, Wall Street's largest trade group, declined to comment specifically about the memo.

Two main industry trade groups opposed to DOL's rule — the Financial Services Institute and the Securities Industry and Financial Markets Association — said Wednesday that they would spend the coming days analyzing tindustry trade groups opposed to DOL's rule — the Financial Services Institute and the Securities Industry and Financial Markets Association — said Wednesday that they would spend the coming days analyzing tIndustry and Financial Markets Association — said Wednesday that they would spend the coming days analyzing the rule.

The British Bankers» Association (BBA) is a trade association for the UK banking and financial services industries, representing over 200 meAssociation (BBA) is a trade association for the UK banking and financial services industries, representing over 200 meassociation for the UK banking and financial services industries, representing over 200 member banks.

Industry trade groups like the Investment Company Institute and the Securities Industry and Financial Markets Association have come out against state - run plans, arguing that they will spur a «confusing, state - by - state patchwork of savings programs» that could lack strict federal controls.

Debate over the high - profile litigation has roiled the Securities Industry and Financial Markets Association, one of several trade groups that sought to overturn the regulation in federal court in Dallas earlier this month.

The actual amount transferred may differ from the agreed - upon dollar amount of the transaction as a result of: the allowable delivery variance of + / - 0.01 %, in accordance with the Securities Industry and Financial Markets Association's Good Delivery Guidelines for To - Be-Announced (TBA) trading of agency MBS; periodic net settlement of purchases and sales; principal paydowns; and accrued interest.

About $ 502 billion in Treasuries changed hands on the average trading day in March, according to the Securities Industry and Financial Markets Association.

Topics: Asian, Associations, Back Office, Bakery Cafe, Burger / Steak / BBQ, Business Strategy and Profitability, Catering, Cheese, Coffee / Specialty Beverages, Communications, CONNECT: The Mobile CX Summit, Consultant / Analyst, Credit / Cashless, CRM, Curbside & Takeout, Customer Service / Experience, Digital Signage, Display Technology, Equipment & Supplies, Ethnic, Events, Fast Casual Executive Summit, Financial News, Financing and capital improvements, Food Allergies / Gluten - free, Food & Beverage, Food Cost Management, Food Safety, Food Trucks, Franchising Focus, Franchising & Growth, Fresh Mex, Furniture and Fixtures, Gaming, Going Green, Health & Nutrition, Hot Products, Human Resources, ICX Summit, Independent Restaurant, Industry Services, In - Store Media, Insurance / Risk Management, International, Internet of Things, Italian / Pizza, Kiosk ROI, Kitchen Display, Legal Issues, Loss Prevention, Loyalty Programs, Marketing, Marketing / Branding / Promotion, Menu Boards, Menu Labeling, Mobile Payments, Music Services, Mystery Shopping, National Restaurant Association, Online / Mobile / Social, Online Ordering, Online Services, On - site Customer Management / Paging, On the Menu, On the Move, Operations Management, Other, Ovens, Packaging, Packaging Trends, PCI Compliance, Policy / Legislation, POS, Product Reviews, Professional Services, Research & Development / Innovation, Restaurant Design / Layout, Safety, Sandwich, Sauce, Security Systems, Self - Ordering Kiosks, Self Service, Social Responsibility, Software, Software - Back Office, Software - Inventory Management, Software - Supply Chain, Soup / Salad, Staffing & Training, Supplier, Sustainability, Systems / Technology, Top 100, Trade or Association, Trade Show, Trends / Statistics, Video Gallery, Webinars, Window Treatments, Workforce Management

To increase price transparency in the U.S. corporate debt market, in July 2002 the National Association of Securities Dealers (now the Financial Industry Regulatory Authority) introduced TRACE (Trade Reporting and Compliance Engine).

Individual guides for each of these industries list resources available from trade associations, research firms, and other sources which address subjects such as industry trends and statistics, financial statements and financial ratios, and compensation and salary surveys.

Interactive Brokers LLC is a registered Broker - Dealer, Futures Commission Merchant and Forex Dealer Member, regulated by the U.S. Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), and is a member of the Financial Industry Regulatory Authority (FINRA) and several other self - regulatory organizations.

Check Into Cash is one of the founders of the industry's national trade association, the Community Financial Services Association of Amerassociation, the Community Financial Services Association of AmerAssociation of America (CFSA).

The International Air Transport Association — a trade group for the world's airlines — said that global demand for air travel in 2015 jumped 6.5 percent over the previous year, a result that it said was the strongest since the world started pulling out of the Global Financial Crisis in 2010; that number was also well above the industry's 10 - year average growth rate of 5.5 percent.

Peabody Energy, a longtime leader and big financial supporter of ALEC, was a top conference sponsor, along with the American Coalition for Clean Coal Electricity, a trade association group for the coal industry.

We defend clients in investigations and enforcement actions brought by regulatory bodies across the country, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Department of Labor, the New York Stock Exchange, the American Stock Exchange, the National Futures Association, the Commodity Futures Trading Commission, the Chicago Board of Options Exchange, the Chicago Mercantile Exchange and the Chicago Board of Trade.

In addition to his class actions work, David also represents clients in investigations and enforcement actions before the Ontario Securities Commission, Investment Industry Regulatory Organization of Canada, the Mutual Fund Dealers Association and listed stock exchanges regarding insider trading, market manipulation, securities distributions, financial disclosure, investment suitability and director conduct.

Our clients and partners include Global 1000 companies, major financial institutions, a wide range of legal services providers, global and regional law firms, legal networks, as well as legal publishers, diverse legal service providers and legal industry trade associations worldwide.

Peter has served as a panelist and / or speaker on presentations on securities - related issues to the Securities Industry and Financial Markets Association («SIFMA»), American Arbitration Association, New York Stock Exchange, National Association of Securities Dealers, accounting and securities trade groups, law schools, and other organizations.

Josh has represented entrepreneurs, privately - held companies, public companies, and trade associations across various industries, including real estate, investment banking, retail banks, private equity, health care, manufacturing, intellectual property, financial services, food and drug, and government contracting.

The industry trade association established in 2009 just announced a free membership campaign for insurance and financial professionals.

CBOE's chief executive Edward Tilly told Financial News that concerns regarding certification for bitcoin futures trading, raised by the Futures Industry Association in an open letter to the Commodity Futures Trading Commission (CFTC) last week, were «uncalled for», «irresponsible» and took «cheap shots» at the regtrading, raised by the Futures Industry Association in an open letter to the Commodity Futures Trading Commission (CFTC) last week, were «uncalled for», «irresponsible» and took «cheap shots» at the regTrading Commission (CFTC) last week, were «uncalled for», «irresponsible» and took «cheap shots» at the regulator.

In mid-December 2017, the Korean Blockchain Industry Association announced that it plans to «establish a set of specific ethical codes on the virtual currency bourses, including insider trading and market manipulation» after the South Korean financial authorities began considering cryptocurrency regulations.

Fitch Ratings is a member of the Asia Securities Industry and Financial Markets Association, an independent, regional trade aAssociation, an independent, regional trade associationassociation.

Simon will receive an award from the Retirement Income Industry Association, a trade group of financial service and annuity providers, for a paper she wrote for the journal on how better to cater to the specific needs of clients in or near retirement.

In contrast, an industry trade association commenter representing non-depository financial services providers stated that the proposed prohibition on the simultaneous delivery of the Loan Estimate and Closing Disclosure could delay closings because settlement costs could increase shortly before the closing, and the creditor must be able to provide the revised Loan Estimate to reflect the increase.

The Bureau received over 2,800 comments on the TILA - RESPA proposal during the comment period from, among others, consumer advocacy groups; national, State, and regional industry trade associations; banks; community banks; credit unions; financial companies; mortgage brokers; title insurance underwriters; title insurance agents and companies; settlement agents; escrow agents; law firms; document software companies; loan origination software companies; appraisal management companies; appraisers; State housing finance authorities, counseling associations, and intermediaries; State attorneys general; associations of State financial services regulators; State bar associations; government sponsored enterprises (GSEs); a member of the U.S. Congress; the Committee on Small Business of the U.S. House of Representatives; Federal agencies, including the staff of the Bureau of Consumer Protection, the Bureau of Economics, and the Office of Policy Planning of the Federal Trade Commission (FTC staff), and the Office of Advocacy of the Small Business Administration (SBA); and individual consumers and acadetrade associations; banks; community banks; credit unions; financial companies; mortgage brokers; title insurance underwriters; title insurance agents and companies; settlement agents; escrow agents; law firms; document software companies; loan origination software companies; appraisal management companies; appraisers; State housing finance authorities, counseling associations, and intermediaries; State attorneys general; associations of State financial services regulators; State bar associations; government sponsored enterprises (GSEs); a member of the U.S. Congress; the Committee on Small Business of the U.S. House of Representatives; Federal agencies, including the staff of the Bureau of Consumer Protection, the Bureau of Economics, and the Office of Policy Planning of the Federal Trade Commission (FTC staff), and the Office of Advocacy of the Small Business Administration (SBA); and individual consumers and acadeTrade Commission (FTC staff), and the Office of Advocacy of the Small Business Administration (SBA); and individual consumers and academics.

«The capital raise is down in part because of new regulatory rules, in part because of the impact of AR Capital and in part due to fewer liquidity events because the traded REIT market hasn't performed as well,» said Thomas Sittema, CEO of CNL Financial Group and the 2016 chairman of the board of the Investment Program Association, an industry trade group.

Two industry trade associations representing consumer financial services providers recommended that prepaid interest be excluded from the calculation.