*Court Filings

Response to Order Regarding 19(d) Procedures

Published on:
August 30, 2013

SIFMA files a consolidated brief related to SIFMA’s 19(d) application with the Securities and Exchange Commission (SEC) for review of action taken by certain self-regulatory organizations (SROs) and requesting an order setting aside rule changes of certain SROs limiting access to their services. SIFMA’s consolidated brief is in response to the order regarding procedures to be adopted for the proceedings.

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.