Testimony at the Hearing entitled ILCs – A Review Of Charter, Ownership, And Supervision Issues
Published on:
July 12, 2006
Testimony Of George Sutton, Esquire On Behalf Of The Securities Industry Association Before The House Financial Services Committee Subcommittee On Financial Institutions And Consumer Credit “ILC’s – A Review Of Charter, Ownership, And Supervision Issues” – July 12, 2006
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.
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.
