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…
SIFMA provides comments to the Securities and Exchange Commission (SEC) to highlight a potential and serious collateral consequence of an interaction between a proposed Municipal Securities Rulemaking Board (MSRB) on MSRB Proposed Rule G-42 (MSRB Notice 2011-04) and the SEC’s rulemaking to implement Section 975 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). This letter serves as a companion letter to SIFMA’s letter to the MSRB on the subject on February 25, 2011. SIFMA shares concerns that the SEC’s rulemakings unintentionally exclude broker-dealer placement agents from coverage under a pay-to-play regime. SIFMA renews their previous requests to the SEC that the SEC ensure that broker-dealer placement agents are covered by a single, non-duplicative, and jurisdictionally sound pay-to-play regime no later than September 13, 2011.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…
SIFMA provided additional comments to the U.S. Department of the Treasury (DOT) on the 2024 Final Regulations and 2024 Proposed…