June 29, 2009
SIFMA Comment Letter on MSRB Notice 2009-20: Request for Comment Regarding Settlement of Syndicate Accounts Under Rule G-11 and Secondary Market Trading Accounts Under Rule G-12.
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June 19, 2009
SIFMA Comments to the SEC Regarding Release No. 34-59748: File No. S7-08-09; Proposed Price Test Amendments to Regulation SHO.
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June 17, 2009
SIFMA's Equity Options Trading Committee Comment Letter to the SEC Regarding File No. SR-NYSEArca-2009-44, Relating to the Penny Pilot Program.
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June 11, 2009
SIFMA and The Clearing House joint comments to the SEC regarding the proposed rule changes relating to economic sanctions and embargo programs administered and enforced by the Office of Foreign Assets Control, set forth in Release No. 34-59917; File Nos. SR-DTC-2009-07, SR-FICC-2009-06, SR-NSCC-2009-03 (collectively, the “Proposed Rules”).
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June 08, 2009
SIFMA’s comment letter regarding FINRA Regulatory Notice 09-22: Personal Securities Transactions for and by Associated Persons.
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June 08, 2009
Comment letter by SIFMA and the FIA to the Department of Treasury in response to the proposed rulemaking clarifying the scope of the statutory prohibition against the disclosure of a Suspicious Activity Report.
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May 10, 2009
Comment Letter on Release No. 34-59636; File No. SR-MSRB-2009-02
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May 04, 2009
ICSA Comments on IOSCO’s Consultation Report on the Regulation of Short Selling
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May 01, 2009
SIFMA Comments on the Consultation Report on the Regulation of Short Selling prepared by IOSCO's Technical Committee.
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April 30, 2009
SIFMA Comment Letter to FINRA and NYSE Euronext Re: FINRA Regulatory Notice 09-15 and NYSE Information Memo 09-13.
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