Tag Archives: SIFMA

SIFMA C&L 2018 Annual Seminar Summary

General Session Panel Highlights One-on-One with SEC Chairman Jay Clayton and SIFMA President & CEO Kenneth E. Bentsen, Jr. The conference began with a one-on-one discussion with SEC Commissioner Clayton. He applauded the agency for its diverse talent and an ability to coordinate effectively with other state and federal regulators and FINRA. Commissioner Clayton acknowledged … Continue Reading

Hints about New 871(m) Withholding Guidance

On Friday, Oct. 21, a senior official from the Internal Revenue Service said that new transition rules for the regulations for withholding on dividend equivalent payments on equity-linked derivatives under Section 871(m) will be issued in November. At a symposium sponsored by the Securities Industry and Financial Markets Association (SIFMA) in New York, Peter Merkel, … Continue Reading

Propriety of Constitutional Challenges to Agency Administrative Proceedings Discussed by Federal Regulators, and Supported by at Least One

Top enforcement chiefs from the SEC, CFTC, DOJ and FINRA participated on a panel discussion of current enforcement trends and issues during the Current Enforcement Issues Panel discussion as part of this week’s SIFMA Compliance and Legal Division annual seminar.    The agenda at the SEC dominated much of the discussion. SEC Enforcement Director Andrew Ceresney … Continue Reading

Pete Michaels Speaks at SIFMA Compliance and Legal Society Regional Seminar

Greenberg Traurig’s Pete Michaels, shareholder in the Financial Regulatory and Compliance and Securities Litigation practices, will be participating in the SIFMA Compliance and Legal Society (C&L) Regional Seminar, Sept. 28, 2015, in Charlotte, North Carolina. Michaels will be a panelist in the session titled “Chief Compliance Officer (CCO) Roundtable,” moderated by Dana S Alligood, Enterprise … Continue Reading