Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Issue
The Individual Investor→
Summary
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the SEC’s Form ADV brochure and brochure supplement issues. SIFMA requests an extension on the brochure supplement delivery requirements until December 31, 2011, and seeks responses to interpretive questions relating to the forms.
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Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
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…