FSOC Non-Bank Guidance (Joint Trades)
SIFMA AMG and the undersigned associations provided comments to the Department of the Treasury (DOT) encouraging FSOC to restore the…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) in response to FINRA’s requests for comment on a rule proposal to implement the Comprehensive Automated Risk Data System (CARDS).
SIFMA believes that FINRA’s CARDS proposal would impose undue costs and burdens on the member firms, and is an attempt to diagnose a regulatory ill without appropriately accounting for the impact on investor privacy and civil liberties, and should not be filed with the Securities and Exchange Commission (SEC).
Related Material
Press Release: SIFMA Submits Comments Highlighting Significant Concerns with the FINRA CARDS Rule Proposal – December 1, 2014
SIFMA Submits Supplemental Comments to FINRA on Proposal to Develop the Comprehensive Automated Risk Data System (CARDS) – July 1, 2014
SIFMA Submits Comments to FINRA on Developing the Comprehensive Automated Risk Data System (CARDS) – March 21, 2014
SIFMA AMG and the undersigned associations provided comments to the Department of the Treasury (DOT) encouraging FSOC to restore the…
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…