Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA provides comments to FINRA on Regulatory Notice 15-20, a proposed rule to restructure the current representative-level qualification examination program. Registrants would take a general knowledge examination, the Securities Industry Essentials Examination (SIE) and an appropriate specialized knowledge examination to reflect their particular registered role.
SIFMA believes the proposed changes included in RN 15-20 will make FINRA’s examination program less burdensome, less costly and more efficient. These changes ultimately should benefit investors and the industry by, among other things, eliminating unnecessary and duplicative examinations.
See also:
Regulatory Notice 15-20
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
We use cookies to provide our site visitors a valuable experience as well as relevant content and services. Please carefully review our Privacy Policy and Terms of Use; by using this website, you agree to the information set forth therein.