Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on ways to facilitate and increase investor use of BrokerCheck information, FINRA Regulatory Notice 12-10. SIFMA believes that the information maintained in BrokerCheck must be accurate, clear, concise, and relevant to the investor, and must be balanced against member firms’ and their employees’ legitimate privacy interests, and expectations of fairness and balance.
More Submissions
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Confirmation Letter Related to the UST Clearing Working Group’s Accounting Treatment for UST Repo Transactions Cleared Through FICC White Paper
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…
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2024 Section 987 Regulations
SIFMA provided additional comments to the U.S. Department of the Treasury (DOT) on the 2024 Final Regulations and 2024 Proposed…