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…
Summary
The Bond Market Association (TBMA)* provides comments to the Securities and Exchange Commission (SEC) on a proposed interpretation of the definition of solicitation under Municipal Securities Rulemaking Board Rules G-37 and G-38, File No. SR-MSRB-2005-11. TBMA shares its concerns that the proposed interpretation conflicts with the MSRB’s prior interpretations of this term.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
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…