Testimony of Stuart J. Kaswell – Senior Vice President and General Counsel, Securities Industry Association – Regulation FD

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.

  • Investor Protection