Comment Letters
04/22/08
SIFMA comment letter filed with the Municipal Securities Rulemaking Board (MSRB) expressed its strong support for the MSRB¿s proposal to develop a website which would display information on the results of auctions of auction rate securities
04/21/08
SIFMA filed a comment letter in response to Moody's request for comment on the assignment of global ratings to tax-exempt municipal obligations
04/14/08
FSA Consultation Paper ¿ DP 08/01: Review of Structure of the Listing Regime
04/09/08
Joint comments on the Federal Reserve Board of Governors Proposed Rule to Amend the Home Mortgage Provisions of Regulation Z
04/09/08
SIFMA letter to FinCEN and the SEC on Recommendations to Enhance the Efficiency and Effectiveness of Anti-Money Laundering Provisions under the USA PATRIOT Act
04/07/08
SIFMA's comment letter to the SEC Re: FINRA's proposed dispositive motions rules
04/07/08
SIFMA comments to the SEC on Release No. 34-57308: Notice of Solicitation of Public Views Regarding Practices Being Develped to Deal with the Increasing Number of senior Investors
03/31/08
ESF/SIFMA) response (submitted on 31 March) to the CESR Consultation Paper (CP) on the role of Credit Rating Agencies in Structured Finance
03/28/08
SIFMA Letter to SEC Re: Comments to MSRB; Notice of Filing of Proposed Rule Change to Rule G-8, Books and Records, Rule G-9, Preservation of Records, and Rule G-34, CUSIP Numbers and New Issue Requirements, To Improve Transaction Reporting of New Issues
03/27/08
Industry letter of agreement with update to the Federal Reserve Bank of New York outlines goals, strategies and major benchmarks toward the continued improvement and streamlining of operational efficiency within the credit and equities derivatives market
03/18/08
SIFMA Letter Re: Proposed Rules Providing Guidance on Section 529 Accounts for Qualified Tuition Programs
03/14/08
SIFMA and ASF Letter opposing the Minnesota Subprime Foreclosure Deferment Act of 2008
03/10/08
SIFMA Letter to SEC Re: Long Term Penny Pilot Rollout Plan detailed in the Penny Pilot Phase II Report, submitted by the Chicago Board Options Exchange (CBOE)
03/04/08
SIFMA Letter to Congressman Rangel and McCrery urges inclusion of H.R. 2091 in any legislative package related to the current challenges facing the credit markets.
03/03/08
SIFMA Letter RE: Treasurys 2007-2008 Priority Guidance Plan; and proposed regulations on arbitrage restrictions under Internal Revenue Code Section 148
02/28/08
SIFMA Comments to SEC Re: Enhanced Disclosure and New Prospectus Delivery Option For Registered Open-End Management Investment Companies Release No. 33-8861, File No. S7-28-07
02/28/08
ICI and SIFMA letter to SEC Re: Mutual Fund Summary Prospectus Proposal
02/28/08
SIFMA Comments to SEC Re: Proposed National Market System Plan for the Selection and Reservation of Securities Symbols; with Appendix, FIF/SIFMA NASDAQ Suffix Symbology Survey
02/27/08
SIFMA's Equity Markets and Trading Committee and NYSE Rule 97 Working Group Letter to the SEC Re: NYSE proposed rule change to rescind Rule 97 (Limitation on Member's Trading Because of Block Positioning)
02/25/08
SIFMA Letter Re: MSRB Notice 2008-05; Plans to Establish an
Electronic Access System for Continuing Disclosure
02/25/08
SIFMA and ICMA response to the CESR draft advice on the equivalence of US, Chinese and Japanese GAAPs
02/15/08
Members of the Bankruptcy Coalition letter to Senate leaders express concern with S.
2636, the 'Foreclosure Prevention Act of 2008'
02/14/08
Comment letter to the SEC regarding SR-FINRA-2007-04, Proposed Rule Change to Amend NASD Rule 7001B to Adjust Percentage of Market Data Revenue Shares with FINRA/Nasdaq TRF Participants
02/14/08
SIFMA's response to the European Commission (EC) consultation on a Code of Conduct for Interest Representatives (i.e. lobbyists)
02/13/08
Letter to Congressman Ron Kind in support of H.R. 5160, the Small Businesses Add Value for Employees, or SAVE Act of 2008
02/13/08
Letter submitted to the Treasury Department regarding proposed changes to the reissuance rules for tax-exempt securities
02/12/08
Comments on a proposed regulation of ERISA regarding Section 408(b)(2) Ammendment: Reasonable contract or arrangement under Section 408(b)(2) - Fee Disclosure
02/12/08
SIFMA requests that the SEC, under its Section 19(b) authority, abrogate the Boston Stock Exchange filing for a fee increase
02/12/08
ICMA and SIFMA's final response to the UK FSA Consultation Paper (CP) on Disclosure of Contracts for Difference (CFD)
02/12/08
SIFMA letter to Senate in strong support of the Chairman's Mark, substitute amendment, and Senator Charles Schumer's
amendment to the "Industrial Bank Holding Company Act of 2008"
02/08/08
Comment letter from the Dealer Accounting Committee of SIFMA to the Financial Accounting Foundation in response to a request for comments on proposed changes to oversight, structure and operations of the FAF, FASB and GASB
02/07/08
SIFMA Letter to SEC RE: order granting petition for review of File No. SR-NYSEArca-2006-21, a rule change proposed by NYSEArca to establish fees for the receipt and use of depth-of-market data.
02/07/08
Coalition to Preserve Arbitration letter to the Senate Judiciary Committee opposing the "Arbitration Fairness Act"
02/04/08
SIFMA sends letter to Governor Spitzer, Senator Bruno, Speaker Silver, expressing concern with the Governor's proposed 2008-09 Executive Budget
01/31/08
SIFMA's comment letter to the IRS regarding proposed regulation concerning the reporting of patented transactions
01/24/08
SIFMA Urges Inclusion of AFE Extension in Stimulus Plan
01/24/08
Equity Markets and Trading Committee of SIFMA Letter to the SEC regarding changes relating to NYSE Rule 409(f) filed by FINRA and NYSE; SIFMA supports proposals deleting requirement some correspondence reports include securities market name
01/23/08
SIFMA Letter to the SEC regarding File No. SR-NASDAQ-2007-099, Establishing Fees for Registering and Transferring Registration of Associated Persons
01/22/08
Coalition Urges Floor Consideration of Patent Reform Bill
01/22/08
SIFMA regarding Concept Release Nos. 33-8860; 34-56803; File No. S7-27-07 on Mechanisms to Access Disclosures Relating to Business Activities in or With Countries Designated as State Sponsors of Terrorism
01/18/08
SIFMA with the the Active Financing Working Group letter urging an extension of AFE in the stimulus bill.
01/18/08
Joint response to CESR Re: Consultation Paper published by the Lamfalussy Level 3 Committees regarding Medium Term Work Programme
01/18/08
Joint Associations Committee Letter to the EU Commission in response to October 2007 Call for Evidence; regarding product transparency and distribution requirements for substitute retail investment products
01/17/08
SIFMA Letter to Treasury Secretary Paulson RE: changes to the Mortgage Revenue Bond program that will enhance flexibility and capacity of state and local governments
01/16/08
Comments on proposed regulations concerning withholding procedures under section 1441 for certain distributions to which section 302 applies; request to testify
01/07/08
FINRA Regulatory Notice No. 07-58, Proposed Guidance Regarding International Prime Brokerage Practices
2007 Comment Letters
12/26/07
Municipal Financial Products Committee of SIFMA Comments to the Department of Treasury and the IRS RE: Proposed Treasury Regulations Section 1.148-4(h)(2)(v)(B) Relating to the Treatment of Qualified Hedges
12/18/07
Letter to TSX Group RE: 2008 market data price increases and introduction of new "per server" application fees
12/14/07
Comments to MSRB RE: Draft Rule Changes to Establish an Electronic Access System for Official Statements
12/12/07
Joint trade associations letter in support of legislation reauthorizing the Commodity Exchange Act
12/12/07
SIFMA's comment letter on the proposed rules by the Federal Reserve and Treasury to implement the Unlawful Internet Gambling Enforcement Act
12/12/07
Dealer Accounting Committee of SIFMA on the proposed FASB Staff Position that would delay indefinitely the effective date of AICPA Statement of Position 07-1 with Attached SIFMA Recommendations
12/12/07
SIFMA's comment letter in support of the recent announcement by Treasury to allow State and local governments to use the qualified Mortgage Revenue Bond (MRB) program to assist troubled homeowners
12/10/07
SIFMA and EMTA Letter RE: Proposed Rule Change Relating to DTC Opening an Omnibus Account at Euroclear
Bank
12/10/07
SIFMA's follow up letter to the U.S. Department of Labor regarding Prohibited Transaction Class Exemption 2006-16, which permits certain loans of securities by employee benefit plans to parties in interest
12/07/07
SIFMA comments on the proposed NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations
12/05/07
Securities Industry and Financial Markets Association opposes the basis reporting revenue raiser included in the tax title of H.R. 6, the Clean Renewable Energy and Conservation Tax Act of 2007
12/05/07
Market Data Subcommittee of SIFMA Technology and Regulation Committee comments to the SEC on SR-NASD-2007-031 "NYSE TRF" and SR-NASD-2007-043 "NSX TRF"
11/30/07
Letter to NYS Department of Taxation and Finance Regarding Draft Proposed Regulations on Repurchase Agreements and Securities Loans
11/30/07
SIFMA supports Temporary Rule 206(3)-3T and appreciates SEC efforts to provide large numbers of fee-based brokerage clients and advisory clients the benefits of accounts that combine asset-based fees with access to the securities inventory of a B-D
11/21/07
SIFMA comment letter filed with Treasury regarding the U.S. regulatory structure for financial institutions
11/20/07
Joint trade association response to CESR's consultation on its MIFID Level 3 Expert Group Work Plan (WP) for Q4 2007-2008
11/16/07
SIFMA's comment letter regarding FINRA Regulatory Notice 07-46 re proposals to simplify and update the current market maker-based trade reporting structure and to require firms to provide information sufficient to link tape and non-tape reports that are
11/15/07
SIFMA/ASF letter on HR 3915, the Mortgage Reform and Anti-Predatory Lending Act of 2007
11/13/07
ISDA and SIFMA's joint comment letter to the SEC in response to the concept release regarding "Allowing U.S. Issuers to Prepare Financial Statements in Accordance with International Financial Reporting Standard"
11/07/07
Letter to the SEC on Market Data TRACE fees; in the Matter of NetCoalition, File No. SR-NYSEArca-2006-21
11/06/07
SIFMA and ASF letter opposing H.R. 3609, the Emergency Home
Ownership and Mortgage Equity Protection Act of 2007
11/05/07
SIFMA and ASF letter to House Financial Services Committee in appreciation of their leadership in crafting H.R. 3915, The Mortgage Reform and Anti-Predatory Lending Act of 2007, and the open and inclusive process employed
11/02/07
SIFMA comments to SEC regarding proposed interpretive rule addressing the application of the Investment Advisers Act of 1940, as amended to certain activities of broker-dealers involving the provision of investment advice
10/30/07
SIFMA comment letter filed with the SEC on Release number 34-56585 regarding Office of Supervisory Jurisdiction (OSJ) definition
10/29/07
Joint letter to GASB on Project No. 26-4, Exposure Draft of Accounting and Financial Reporting for Derivative Instruments
10/24/07
Coalition for Patent Fairness express strong support for S. 1145, the Patent Reform Act of 2007
10/18/07
SIFMA's coment letter supporting the ongoing efforts of the Securities and Exchange Commission to develop updated regulatory structures to address the increasingly global nature of financial markets
10/17/07
Letter to Senators Reid and McConnell: SIFMA strongly supports the Patent Reform Act of 2007 (S.1145) and urges that the bill be scheduled for floor action without delay
10/17/07
Letter to SEC re: File No. SR-FINRA-2007-010; Proposed Rule Change To Amend an Exemption Under NASD Rule 1050 and NYSE Rule Interpretation 344/02 for Certain Research Analysts Employed by a Members Foreign Affiliate.
10/17/07
Letter to SEC re: File No. SR-FINRA-2007-11; Proposed Rule Change to Amend NASD Rule 2711 and NYSE Rule 472 Regarding a Member's Disclosure and Supervisory Review Obligations when Distributing Third-Party Research.
10/17/07
SIFMA expresses their support for the Presidents recent statements promoting the trade agenda
10/17/07
SIFMA Request for Amendment to or Delayed Implementation of Revisions to MSRB Rules G-27, G-8 and G-9
10/16/07
SIFMA's request to MSRB for extension of 3-Hour Exception for New Issue Municipal Securities Trade Reporting
10/16/07
Comments to SEC Re: Release No. 34-56492; File No. SR-CBOE-2007-106; CBOE Proposed Rule Change Relating to CBOE Rules Governing Doing Business with the Public
10/04/07
SIFMA and IAA letter to DOL request for guidance under Section 406(b)(3) of ERISA; LM-10 reporting changes, regional examination initiatives, and other developments have heightened the level of interest by members of both organizations
10/03/07
SIFMA Comment Letter to the SEC RE: File No. SR-FINRA-2007-006, regarding Historic TRACE Data
09/28/07
SIFMA Response to Notice 2007-58 Comments on Treasury Regulation Section 1.904-4(e), Categories of Active Financing Income
09/27/07
Letter sent to IRS RE: Proposed regulations under Section 1221(a)(4), which would alter long-standing treatment of consumer loans, mortgages and other receivables
09/26/07
SIFMA comment letter to the SEC on Release No. 34-56213, File Number S7-19-07 regarding Amendments to Regulation SHO
09/24/07
SIFMA comment letter filed with NASD on the FINRA Proposed Rule 2721 relating to member private offerings
09/21/07
SIFMA, ISDA, and MFA comment letter on SEC proposed revisions to Rule 144 and Rule 145 to shorten restricted security holding periods
09/21/07
Coalition to Preserve Arbitration Letter to the Senate opposing S.1782, the "Arbitration Fairness Act"
09/21/07
Coalition to Preserve Arbitration Letter to the House opposing H.R. 3010, the "Arbitration Fairness Act"
09/14/07
Joint letter Re: CP07/16, regarding Consequestial Handbook Amendments (arising from implementation of MIFID and creation of NEWCOB
09/14/07
SIFMA's assessment of CESR activities between 2001 and 2007
09/14/07
SIFMA and ICMA joint letter to CESR Call for Evidence on Possible CESR Level 3 Work on the Transparency Directive (Ref. 07-487)
09/13/07
SIFMA Letter to the Treasury Re: Final 403(b) regulations
09/05/07
SIFMA comment letter filed with the Federal Trade Commission regarding private sector uses of Social Security Numbers.
09/05/07
SIFMA Letter to House Leadership Urging the Passage of Patent Reform Act of 2007 (H.R. 1908)
08/23/07
SIFMA comment letter filed with the SEC Re: NYSE Rule 405B regarding notification of fees
08/23/07
Letter to the SEC on Release No. 34-55745, File No. SR-NASD-2007-30 regarding NASD proposed rule change relating to trade reporting obligations for transactions in foreign equity securities
08/22/07
Letter to SEC on Proposed Rule Relating to the Harmonization of NYSE and NASD Regulatory Standards, the Updating of Certain NYSE Terminology, and the Reorganization and Clarification of Certain NYSE Rules in Connection With the Harmonization Process
08/17/07
Letter to the SEC on file number SR-NYSE-2007-59: Amendments to NYSE Rules 342(c) and 343(d) regarding Branch Office Approval
08/16/07
Letter to SEC Re: the Matter of NetCoalition, File No. SR-NYSEArca-2006-21:
Notice of Intervention
08/03/07
Joint comment letter from SIFMA and ASF regarding the home equity lending market and a proposed HOEPA rulemaking filed with the Federal Reserve
08/01/07
SIFMA comment letter on SR-NYSEArca-2006-21 regarding NetCoalition filed to the SEC
07/27/07
SIFMA Comment Letter on Proposed Rule 2721 relating to Member Private Offerings filed with the NASD
07/24/07
Associations Letter to Dept. of Labor, Joint Recommendations on participant Fee Disclosure Re: 401K
07/24/07
SIFMA comment letter to Dept. of Labor Re: 401K participant fee disclosure RFI
07/19/07
SIFMA comment letter on Rule 12b-1 Roundtable (File No 4-538) filed with the SEC
07/19/07
SIFMA comment letter regarding the DTC proposed policy statement for foreign securities
07/12/07
SIFMA comment letter on NYSE Information Memo 7-54 and NASD Notice to Members 7-30, the proposed joint guidance regarding the review and supervision of electronic communication
07/09/07
Letter to IRS Re: amendments to Treasury Regulations; second submission on ftc noncompulsory payment regs for section 901
07/09/07
SIFMA requests clarification of the scope of the new proposed foreign tax credit regulations that would deny foreign tax credits in the case of certain SPIAs
07/03/07
SIFMA comment letter on the proposed rule change relating to the adoption of market data fees for AMEX real-time trade price service
06/29/07
Letter to IRS Re: Request for Comments on Draft Form W-8BEN and W-8BEN and the Instructions for W-8BEN
06/29/07
SIFMA letter of opposition on California SB 573 sent to CA State Senate
06/29/07
SIFMA and ASF comment letter on mortgage broker and lender regulations submitted to the Massachusetts Attorney General
06/28/07
SIFMA comment letter on the Senate Finance Committee's bipartisan discussion draft on basis reporting
06/26/07
SIFMA comment letter Responding to SEC regarding proposed revisions to Rule 17a-4
06/25/07
SIFMA comment letter on the initiative petition to amend the South Dakota's Uniform Securities Act of 2002
06/22/07
Comment letter to the SEC regarding DTCs proposed amendments for the FAST program
06/22/07
SIFMA comment letter to the SEC RE: SR-NYSE-2007-21, NYSE Hybrid Market and Regulation NMS
06/19/07
SIFMA Comment Letter Re: Proposed Rule Change Relating to Close-Out Netting Procedures
06/15/07
SIFMA comment letter on Release No. 34-55431, File No. S7-08-07, Amendments to Financial Responsibility Rules for Broker-Dealers
06/14/07
SIFMA letter on the IOSCO Consultation Report: An Overview of the Work of IOSCO's Technical Committee
06/12/07
SIFMA Comments to the SEC on the NYSE and NASD Business Entertainment Rule Proposals; SR-NASD 2006-044 and SR-NYSE-2006-06
06/12/07
SIFMA comment letter on proposed new rules N.J.A.C. 13:45F that was filed with the New Jersey Division of Consumer Affairs
06/11/07
SIFMA comment letter on facilitating cross-border capital markets transactions
06/08/07
Joint response to CESR Non-Equity Price Transparency Consultation
06/04/07
SIFMA comment letter on NJ Secondary Market Trading-Exempt Transactions that was filed with the New Jersey Department of Law and Public Safety
05/30/07
SIFMA Comments on Nasdaq's Proposal to Reestablish a Quotation and Trading System for PORTAL Securities
05/29/07
SIFMA comment letter sent to the SEC on the Interagency Proposed Rule for Model Privacy Form under the Gramm-Leach-Bliley Act
05/25/07
SIFMA Comments To Treasury And The IRS Advocating A Fully Prospective Effective Date For New Proposed Treasury Regulations Relating To The Determination Of The Amount Of Taxes Paid For Purposes Of Section 901 Of The Internal Revenue Code
05/22/07
SIFMA Comment Letter on NYSE Proposed Rule 447, Re: Emergency Powers
05/22/07
SIFMA Comment Letter to the SEC Re File No. SR-NASDAQ-2007-004, Re: NASDAQ Options Market
05/15/07
SIFMA comment letter on the proposed new rule 21 VAC 5-20-65 that was filed with the Virginia State Corporation Commission
05/07/07
SIFMA Comments to FDIC Re: Proposed Rule Part 354 - Industrial Bank Subsidiaries of Financial Companies, RIN number 3064-AD15
05/03/07
SIFMA Comments to CA State Assembly in strong support of AB 819, as amended; legislation would affect California residents who contribute to any qualified 529 and plan to deduct the amount of that contribution
04/25/07
SIFMA Comments to Ethics Task Force Re: Second Exposure Draft on CFP Board's Code of Ethics and Professional Responsibility, Rules of Conduct, and Financial Planning Practice Standards
04/24/07
SIFMA Comments RE: the Consultation Report on Implementation of the IOSCO CRA Code
04/23/07
SIFMA Comments to SEC re: Proposed Rule Changes Relating to NYSE Rule 472 and NASD Rule 2711
04/23/07
SIFMA Comments to SEC Re: Proposed Rule Change to Amend the By-Laws of NASD to Implement Governance and Related Changes to Accommodate the Consolidation of the Member Firm Regulatory Functions of NASD and NYSE Regulation, Inc.
04/23/07
SIFMA Letter to Employee Benefit Security Administration re: Cross-Trading Policies and Procedures Interim Final Rule
04/12/07
SIFMA's Foundation for Investor Education Letter to Treasury; Request for Comments: Financial Literacy Education Commission
04/09/07
SIFMA Letter RE: NASD Notice to Members 07-12
Proposed Amendments to Rules 3010(g) and 2711 in connection with the Rule Harmonization Project with the NYSE
04/05/07
SIFMA Cross-Border Subcommittee of the Operations Committee Letter
03/30/07
SIFMA Comments to the SEC Re: Release Nos. 34-55147; IC-27672; File No. S7-03-07, "Universal Internet Availability of Proxy Materials"
03/28/07
Comment Letter Regarding General Terms and Conditions to the Market Data Dissemination Agreement of Deutsche Börse AG
03/26/07
Comment Letter to SEC and Board of Governors - Federal Reserve Regarding Definitions of Terms and Exemptions Relating to the Broker Exceptions for Banks - Regulation R
03/26/07
Market Data Subcommittee of the SIFMA Tech. and Reg. Comm. Comments to the SEC on SR-NYSE-2007-04. Re: NYSE Proposal to Create a New Market Data Feed for Last Sale Prices for Trades Taking Place Through the Exchange
03/23/07
SIFMA E-Records Modernization Task Force Letter to SEC Re: open issues regarding proposed revisions to Rule 17a-4 of the Securities Exchange Act of 1934
03/16/07
Follow-up Letter to the IRS Re: Chief Counsel Advisory Regarding Manufactured Overseas Dividends
03/14/07
In a comment letter filed with the Treasury Market Practices Group SIFMA supports the Group's efforts to encourage all market participants to incorporate best practices in their daily operations in the market for Treasury securities.
03/13/07
On March 12 the Association submitted a comment letter to the SEC regarding its proposed rules implementating the Credit Rating Agency Reform Act of 2006.
03/09/07
SIFMA filed a letter with the NAIC regarding an article they published questioning conclusions, methodologies, data and choice of data used to generate the conclusions .
03/09/07
SIFMA Comments to the SEC on Release No. 33-8766, File No. S7-25-06, "Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles; Accredited Investors in Certain Private Investment Vehicles."
03/07/07
Market Data Subcommittee Comments Re: SR-NASDAQ-2006-060; Nasdaq proposal to create two new data feeds, "Nasdaq Last Sale for Nasdaq" and "Nasdaq Last Sale for NYSE/Amex"
03/06/07
SIFMA/EPDA/EHYA Comment Letter Regarding CESR Call for Evidence on Non-Equity Markets Transparency
03/05/07
SIFMA Appreciates SEC's unanimous decision to grant the NetCoalition petition to review the Staff's approval of NYSE Arca LLC's Market Data Fees under delegated authority
03/05/07
SIFMA supports the efforts of the SROs in reviewing SRO Rules, leading to the Joint Report by NASD and the NYSE On the Operation and Effectiveness of the Research Analyst Conflict of Interest Rules, which the SROs issued in December 2005
03/01/07
Fast-Tracking Discontinued Operations from the Financial Statement Presentation Project
02/23/07
SIFMA Recommends the New U.S. Model Income Tax Convention be Amended to Include Recourse to Binding Arbitration to Resolve Disputes that Parties are Unable to Resolve through the Normal Treaty Mutual Agreement Procedures
02/13/07
Comments Regarding Proposed Ammendments to Reg. M and in Relation to Short Selling in Connection With a Public Offering
02/13/07
SIFMA Comments on Short Selling With a Public Offering
02/12/07
Market Data Subcommittee of the SIFMA Tech and Reg Committee Comments RE: proposed changes to INET and TotalView (as in SR-NASDAQ-2006-053)
02/06/07
Comments to IRS Recommend Amending The Proposed Regulations To Allow Taxpayers To Make An Election To Fully Recognize The Section 987 Gain Or Loss Each Year
01/31/07
SIFMA Letter Re: Response to Request for Information Regarding Computer Models for the Provision of Investment Advice to Individual Retirement Accounts (IRAs)
01/31/07
SIFMA Letter Re: Response to Request for Information Regarding Computer Models for the Provision of Investment Advice to 401(k) Plans
01/31/07
Comment Letter on Proposed Rule Change Relating to Amendments to MSRB Rules G-27, G-8 and G-9
01/23/07
Comments to SEC Re: NYSE Proposed Amendments to Increase Monetary Threshold For Single Arbitrator Cases, File Number SR-NYSE-2006-61
01/22/07
Letter of Concern with Provisions that may be included in H.R. 2, the Fair Minimum Wage Act of 2007, and which the Senate is scheduled to begin debating as of January 22, 2007
01/19/07
SIFMA Comments On Issues Relating To Combating Identity Theft In Response To The Federal Identity Theft Task Force's Request For Public Comment
01/17/07
SIFMA applauds SEC for unanimous decision to grant NetCoalition's petition for review of the Staff's approval of NYSEArca's "ArcaBook" market data fee; w/Appendix A: Fees for Major "Depth-of-Book" and NBBO Market Data Products and B: On Market Data Reg
01/17/07
SIFMA Continues to Urge the Division of Market Regulation not Approve Market Data Fee Proposals By Delegated Authority Until The Commission Has Addressed And Resolved Important Policy Issues - Including The Proper Standard For Calculating Market Data Fee
01/12/07
SIFMA Operations Committee Comments On The NASD Proposed Rule Regarding Requirements To Provide Customers With Information About The Securities Investor Protection Corporation (SIPC) (File No. SR-NASD-2006-124)
01/05/07
Comments on New Jersey Election Law Enforcement Commission's Proposed New Rules Regarding Disclosure of Contributions by Business Entities (N.J.A.C. 19:25-26)
01/04/07
SIFMA Letter RE Proposed Amendments to NASAA Statement of Policy for Direct Participation Programs
01/04/07
Association Submits Comment Letter to SEC Regarding Mark-Ups and Securitized Products
01/03/07
Joint Response To The FSA's DP06/4 On The Responsibilities Of Providers And Distributors For The Fair Treatment Of Customers
12/27/06
Supplemental Comments Regarding Proposed Revision of Annual Information Return/Reports (RIN 1210-AB06)
12/20/06
Comments on Quote Mitigation Proposals Re: Penny Pilot Program Scheduled to begin in January 2007
12/18/06
Market Data Subcommittee of the SIFMA Tech. and Reg. Committee Appreciates the opportunity to comment on Amex's Market Data Rule Filing No. SR-Amex-2006-89 (Amex Depth-of-Book Data)
12/11/06
SIFMA Submits Comments on the Massachusetts Securities Division's Proposed Regulations on the Use of Senior Designations
12/07/06
SIFMA Files Comment Letter with NAIC Regarding Transparency
12/05/06
SIFMA reply to the portion of FSA Consultation Paper 06/18 relating to a proposed amendment to COB 7.18 on the Use of Dealing Commissions
11/30/06
Comments and Recommendations Re: New Discussion Option from the Joint Committee on Taxation to Require Brokers to Report to the IRS and to Investors the Adjusted Basis of Publicly Traded Securities that are Sold During the Preceding Year
11/16/06
SIFMA Suggested FAQ and Answers to Treasury on Qualified Charitable Distributions (QCDs)
11/14/06
Comments to SEC on Analyst Codification Filing Re: File Nos. SR-NYSE-2006-77 and SR-NASD-2006-112; Proposed Changes Relating to NYSE Rule 472 and NASD Rule 2711
11/13/06
Letter to Dept of Labor Re: Proposed Qualified Default Investment Alternative Regulation
11/03/06
SIFMA Operations Committee Comments On The NASD Proposed Rule Regarding Allowing Certain Institutional Customers To Elect Not To Receive Account Statements (File No. SR-NASD-2006-066)
11/02/06
Comments to the SEC Re: Modernization of Securities Exchange Act Rule 17a-4
11/01/06
Joint Comments Re: NASD Notice to Members 06-52, Proposed Amendments to Conduct Rule 2720