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 provided comments to the Securities and Exchange Commission (SEC) regarding the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt FINRA Rule 3110(e) into the Consolidated Rulebook.
SIFMA believes the change will augment the obligations firms currently have under NASD Rule 3010(e) and Incorporated NYSE Rule 345.11 by adding a requirement to adopt reasonably designed procedures to verify the accuracy and completeness of the information contained in an applicant’s Form U4 (Uniform Application for Securities Industry Registration or Transfer) no later than 30 calendar days after the filing of the Form U4.
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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