SIFMA and SIFMA AMG provided further comments to the U.S. Securities and Exchange Commission (SEC) in light of the SEC’s instituting…
SIFMA provided comments to the Securities and Exchange Commission (SEC) publication of FINRA’s proposal to implement requirements in TRACE for…
Washington, D.C., December 16, 2021 – SIFMA today issued the following statement, from Kenneth E. Bentsen, Jr., SIFMA president and…
Washington, D.C., April 15, 2021 – SIFMA today expressed its support for federal legislation to assist with the transition from…
SIFMA and joint trades provided comments to the federal legislation addressing “tough legacy” contracts that utilize LIBOR. There are trillions…
Submission for the Record by SIFMA before the U.S. House Committee on Financial Services Committee Subcommittee on Investor Protection, Entrepreneurship…
There are undoubtedly certain issues requiring legislative action to guide the transition away from LIBOR to alternative reference rates. In…
It has been proposed that certain legacy corporate bonds should transition from being benchmarked against the 30-year Treasury to the…
SIFMA provided comments to FINRA in response to Regulatory Notice 20-24 - Proposed Changes to TRACE Reporting Relating to Delayed…
SIFMA provided comments to FINRA on the retrospective rule review of Rule 4530 (Reporting Requirements), as outlined in Regulatory Notice…
SIFMA provides comments to the Securities and Exchange Commission (SEC) on FINRA’ s second amendment of a proposal to implement…
SIFMA provides comments to the Securities and Exchange Commission (SEC) regarding proposed rules that would implement a new issue reference…
SIFMA provided comments to the Securities Exchange Commission (SEC) on proposed rule change to amend FINRA Rule 7730, to make…
SIFMA provided comments to FINRA on FINRA Regulatory Notice 17-14 addressing various aspects of its rules, operations and administrative processes…
SIFMA provided comments to FINRA on FINRA Regulatory Notice 17-15 to FINRA’s Corporate Financing Rule. SIFMA supports FINRA’s efforts to…
SIFMA provided comments to FINRA on FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research…
SIFMA provides comments to the Securities and Exchange Commission (SEC) on Amendments to Regulation D, Form D and Rule 156…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on proposed amendments to FINRA Rule 5110 (the Corporate Financing…
SIFMA provides comments to the Securities and Exchange Commission (SEC) on customer account statements in the Consolidated FINRA Rule Book, File No.…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on best execution, Regulatory Notice 08-80. In connection with its ongoing…
SIFMA provides comments to the Securities and Exchange Commission (SEC) proposing regulatory changes to permit certain exchange offer registration statements of…