RFI on the State of Current Federal Consumer Financial Data Privacy Law (Joint Trades)
SIFMA, American Bankers Association (ABA), America’s Credit Unions (ACU), Bank Policy Institute (BPI), and Consumer Bankers Association (CBA), provided comments…
Summary
SIFMA requests further interpretive guidance under Rule 206(4)-2, the Custody of Funds or Securities of Clients by Investment Advisers, under the Investments Advisers Act of 1940. Several questions are requested from the Securities and Exchange Commission (SEC), including topics of “transfers among accounts and pre-authorized transfers,” “reasonable belief of statement delivery,” and “imputation of custody for registered representatives.”
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Regulatory Capital Rule: eSLR, TLAC, and Long-Term Debt Requirements for US GSIBs (Joint Trades)
SIFMA, The International Swaps and Derivatives Association, Inc. (ISDA), and the Futures Industry Association (FIA) submitted comments to the Board…
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CT Plan Filing for Fees Charged to Vendors and Subscribers for Consolidated Equity Market Data, CT Plan Policies, and Data Subscriber Agreements
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) to ensure that the single national market system plan…