Capital Markets Committee
Amended Rule 105 Of Regulation M -- Important Information For Persons Seeking Allocations Of Public Offering Securities (pdf)
Block Trade Guidelines - pdf, posted March 31, 2008
The SIFMA Capital Markets Committee is focused on regulatory and legislative proposals that impact corporate finance or capital markets activities of member firms, including underwriting, syndication, merger and acquisition activity and research. Committee initiatives include:
- Block Trade Guidelines
- US Competitiveness Reports with Focus on Reforms to the Underwriting
- Auditor Due Diligence
- Rule 176 Underwriter Liability
- Private Offering Process Liberalization
- IPO Allocation and Pricing
- Conflicts of Interest in Public Offerings
- Fairness Opinions
- Shelf Registration Proposals