The SIFMA Legal Brief & Regulatory Tracker provides a monthly snapshot of pending and recently submitted SIFMA comment letters.
Listed by agency, this report provides a brief description and due date of the comment letter with a link to the regulatory notice. Links to recently submitted full letters and briefs will also be provided.
As of April 2015
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The Dodd-Frank Act requires an unprecedented two- to five-year rulemaking process where roughly 250 new regulations need to be researched and written by at least a dozen regulatory agencies.
As part of the Dodd-Frank Act, Congress adopted a ban on proprietary trading and restricted investment in hedge funds and private equity by commercial banks and their affiliates, the so-called "Volcker Rule."
Cybersecurity is a top priority in the financial industry to ensure the security of customer assets and information and the efficient, reliable execution of transactions within markets.
Derivatives play an important role in the capital markets and broader economy, allowing businesses to manage and hedge risk.
In response to the increasingly automated nature of securities markets and trading activity being widely dispersed across many trading centers, the SEC in 2010 proposed a rule that would require the SROs (stock exchanges and national securities associations) to develop a consolidated audit trail (CAT).
The Department of Labor (DOL) has proposed a change to the definition of fiduciary under the Employee Retirement Income Security Act (ERISA) that would expand the scope of those who become fiduciaries.
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