SIFMA provided comments to the U.S. Securities & Exchange Commission (SEC) on FINRA Rule 4512 and New Proposed Rule 2165. SIFMA appreciates the work that both FINRA and the SEC have undertaken in order to protect senior and vulnerable adults from financial exploitation, and we strongly believe that the Proposed Rules will provide FINRA member firms with important tools to combat this rising threat.
See also:
4512. Customer Account Information
SIFMA provided comments to the Financial Crimes Enforcement Network (FinCEN) on its proposed rule to impose certain anti-money laundering (AML)/countering…
SIFMA and The International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Commodity Futures Trading Commission (CFTC) on…
SIFMA AMG provided comments to the Investor Protections and Sustainable Finance Department on the Guidelines on funds’ names using ESG…
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