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 Employee Benefit Security Administration (EBSA) of the U.S. Department of Labor (DOL) on cross-trading policies and procedures interim final rule, 72 Fed. Reg, 6473, Feb. 12, 2007. SIFMA requests that the final regulation provide additional guidance on certain requirements of the interim rule, including the mitigation of conflicts; and that the Department address certain requirements of the statutory exemption. SIFMA urges DOL to reconsider certain conditions in the interim rule, including the requirement of identify the compliance officer by name; and to adopt a pooled fund rule to implement consent requirements of the exemption.
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…