Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (SIFMA and ISDA)
SIFMA and the International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Federal Reserve Board of Governors on…
Summary
SIFMA provides comments to the Municipal Securities Rulemaking Board (MSRB) on a MSRB Concept Release to provide for public disclosure of financial incentives paid or received by dealers and municipal advisors representing potential conflicts of interest, MSRB Notice 2012-28. While SIFMA is generally a proponent of transparency and the disclosure of potential conflicts of interest in the financial markets, SIFMA does have some serious concerns and comments on this concept release.
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FINRA Regulatory Notice 25-06; Recommendations re FINRA Rule 5510 and 5121
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
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FINRA Regulatory Notice 25-06: Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…