Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Rulemaking Authority’s (FINRA’s) proposed rule change to Rule 2243 (the Proposal), Disclosure and Reporting Obligations Related to Recruitment Practices, File Number SR-FINRA-2014-010; Release No. 34-71786.
SIFMA supports the underlying goal of the Proposal – to foster investor protection by requiring broker-dealers to disclose certain potential conflicts of interest that may arise in connection with a registered representative’s receipt of recruiting related bonus payments.
SIFMA’s comments on the Proposal focus on various operational challenges that SIFMA believes have not been fully considered and may adversely impact firms’ ability to efficiently and cost effectively implement the Proposal.
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
We use cookies to provide our site visitors a valuable experience as well as relevant content and services. Please carefully review our Privacy Policy and Terms of Use; by using this website, you agree to the information set forth therein.