Data Security (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on a proposed new FINRA Rule 3190 relating to third-party service providers, FINRA Regulatory Notice 11-14 . Proposed new FINRA Rule 3190 seeks to clarify a member firm’s obligations and supervisory responsibilities regarding outsourcing arrangements. SIFMA shares concerns over the potential disruption the proposal may have on industry outsourcing arrangements undertaken in conformity with FINRA’s existing regulatory guidance.
More Submissions
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Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…
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Recommendations on Reforms to the Consolidated Audit Trail
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…