Automatic Portability Transaction Regulations
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
Client memo from Davis Polk on SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers. On January 21, 2011, the Securities and Exchange Commission (SEC) released its much anticipated staff study on the effectiveness of the standards of care required of broker-dealers and investment advisers providing personalized investment advice about securities to retail customers. As required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Study also considered whether there are regulatory gaps, shortcomings or overlaps that should be addressed by rulemaking.
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA and The International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Office of the Comptroller of the…
SIFMA AMG provided comments to the Federal Energy Regulatory Commission on the Federal Power Act Section 203 Blanket Authorizations for…
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