*Letters

Proposed Rule Changes to NYSE Rule 472 and NASD Rule 2711

Published on:
November 14, 2006

SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposed rule changes to NYSE Rule 472 and NASD Rule 2711, File Nos. SR-NYSE-2006-77 and SR-NASD-2006-112. The proposed changes would codify existing interpretive guidance relating to the self-regulatory organizations (SRO) rules and make nonsubstantive technical changes to clarify the intended meaning of the SRO rules.  SIFMA believes that changes that require member firms to conduct supervisory and review and approval of research reports by third parties will require greater scrutiny and consideration.

Details

Download

More Content

  • Letters
    Oct 22, 2026

    Treasury/IRS Notice 2026-49: Guidance on Section 324 of the SECURE 2.0 Act with Respect to Rollovers

    SIFMA supports modernizing retirement plan rollovers through standardized electronic processes, fraud safeguards and appropriate implementation timelines.
  • Amicus Briefs
    Oct 21, 2026

    In re USD LIBOR Litigation

  • Letters
    Oct 20, 2026

    SEC’s Proposed Rule Regulation Crypto Assets

    SIFMA and SIFMA AMG provide recommendations to the SEC on its proposed crypto asset regulation, addressing regulatory clarity, implementation and investor protection.

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