Automatic Portability Transaction Regulations
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA provides contents to the Securities and Exchange Commission (SEC) on a proposed rule change to amend MSRB Rules G-8, G-11 and G-32 to include provisions specifically tailored for retail order periods, Amendment No 1. to File No. SR-MSRB-2013-05.
SIFMA believes that concerns raised about retail order periods could be addressed through the enforcement of existing MSRB guidance, MSRB Notice 2012-25 (May 7, 2012). Now the MSRB has decided to reorganize some of its interpretive guidance associated with MSRB Rule G-17 into new or revised rules.
Consequently, SIFMA supports the proposed rule changes to the extent they would protect dealers that follow issuers’ instructions and require timely notice of retail order period terms and conditions to all syndicate and selling group members, as well to investors through the MSRB’s Electronic Municipal Market System (EMMA).
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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