DOL Brokerage Window RFI

Issue

SIFMA provides comments to the Employee Benefit Security Administration, U.S. Department of Labor (DOL) regarding the DOL’s request for information (RFI) with regard to the use of brokerage windows in participant-directed individual account retirement plans covered by the Employee Retirement Income Security Act of 1974 (ERISA).

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Date

November

2014

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More Submissions

Type:

Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)

SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…

Type:

Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)

SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…

Type:

Notice of Proposed Rulemaking on AML/Countering the Financing of Terrorism Program and Suspicious Activity Report Filing Requirements (SIFMA and SIFMA AMG)

SIFMA and SIFMA AMG provided comments to the Financial Crimes Enforcement Network (FinCEN) on its proposed rule to impose certain…

Letters

DOL Brokerage Window RFI

Issue

Retirement Savings→

Summary

Date