Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on FINRA’s request for comment on frequently asked questions (FAQs) related to FINRA Regulatory Notice 10-41, FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market. In September 2010, FINRA released Regulatory Notice 10-41, advising Dealers that in meeting their disclosure, suitability and pricing obligations under MSRB Rules G-17, G-19, and G-30. SIFMA requests that FINRA give strong consideration to issuance of the recommended FAQs.
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
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