Supplemental Comments on Digital Asset Markets (Joint Trades)
SIFMA and joint associations provided additional comments to the President’s Working Group (PWG) on Digital Asset Markets Chair in support…
Summary
The Securities Industry Association (SIA)* provide comments to NASD Regulation, Inc. on a proposal to clarify the member firms’ suitability obligations to customers, Notice to Members (NTM) 96-60. SIA believes that NTM 96-90 has failed in its purpose, and unintentionally obscured the nature of a member firm’s suitability obligations.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
TMPG Consultative White Paper and Proposed Best Practice Recommendations for US Treasury Repo Risk Management (SIFMA AMG)
SIFMA AMG provided comments to the Treasury Markets Practices Group (TMPG) on the Consultative White Paper and Proposed Best Practice…
Type:
Financial Key Performance Indicators for Business Entities
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on the Invitation to Comment - Financial Key Performance Indicators…