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 Securities and Exchange Commission (SEC) on proposed amendments to rule 206(4)(5), the Investment Adviser Pay-to-Play rules which regulates an investment adviser’s interactions with governmental clients such as public pension funds. That rule had just been finalized in July 2010 after an eleven-month comment and amendment process. The most-recent amendments – proposed in November 2010 – would make substantial changes to the Investment Adviser Pay-to-Play Rule, including replacing the current category of permitted ‘regulated persons’ with registered “municipal advisors” (the definition of which is subject to a separate, still-pending rulemaking), and shifting regulatory jurisdiction over broker-dealers who solicit fund investments from government entities on behalf of investment advisers to the MSRB from FINRA.
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…
We use cookies to provide our site visitors a valuable experience as well as relevant content and services. Please carefully review our Privacy Policy and Terms of Use; by using this website, you agree to the information set forth therein.