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…
Client memo from Davis Polk on SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers. On January 21, 2011, the Securities and Exchange Commission (SEC) released its much anticipated staff study on the effectiveness of the standards of care required of broker-dealers and investment advisers providing personalized investment advice about securities to retail customers. As required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Study also considered whether there are regulatory gaps, shortcomings or overlaps that should be addressed by rulemaking.
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…
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