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Type:

Date:

February 6, 2024

Issues:

SEC, Market Structure, Hearing Summaries

US Securities and Exchange Commission: Open Meeting 

US Securities and Exchange Commission   Open Meeting  Tuesday, February 6, 2024 Topline  The item was approved by a vote…

Type:

Date:

January 24, 2024

Issues:

SEC, Market Structure, Hearing Summaries

US Securities and Exchange Commission: Open Meeting 

US Securities and Exchange Commission   Open Meeting  Wednesday, January 24, 2024 Topline  The rulemaking was approved by a vote…

Type:

Date:

November 2, 2023

By:

Matt Ruane

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

HFSC SEC’s Agenda Hearing – November 2nd 2023

House Committee on Financial Services Subcommittee on Capital Markets Examining the SEC’s Agenda: Unintended Consequences for U.S. Capital Markets and…

Type:

Date:

October 18, 2023

By:

Matt Ruane

Issues:

SEC, Market Structure, Hearing Summaries

SEC Open Meeting 10.18.23

U.S. Securities and Exchange Commission Open Meeting Wednesday, October 18, 2023 Topline Commissioners voted 3-2 in favor of the volume-based…

Type:

Date:

May 4, 2023

Issues:

Senate Banking Committee, Market Structure, Hearing Summaries

Holding Executives Accountable After Recent Bank Failures – Senate Banking Committee

Senate Banking, Housing, and Urban Affairs Committee Holding Executives Accountable After Recent Bank Failures Thursday, May 4, 2023 Topline Democrats…

Type:

Date:

April 14, 2023

Issues:

SEC Rulemaking Agenda, SEC, Market Structure, Hearing Summaries

SEC Open Meeting on Proposed Amendments to Definition of “Exchange”

U.S. Securities and Exchange Commission Open Meeting Friday, April 14, 2023 Topline Commissioners voted 3-2 to reopen the comment period…

Type:

Date:

March 9, 2023

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries, Capital Markets

House Financial Services Committee Meeting on Public Markets

House Committee on Financial Services Subcommittee on Capital Markets U.S. Public Markets Built for the 21st Century: Exploring Reforms to…

Type:

Date:

February 17, 2023

Issues:

Shortening the Settlement Cycle, SEC, Market Structure, Hearing Summaries

SEC Open Meeting

Securities and Exchange Commission Open Meeting Wednesday, February 15, 2023 Topline The Commission voted to advance both agenda items, with…

Type:

Date:

September 13, 2022

Issues:

Special Event, Market Structure, Hearing Summaries

SIFMA Equity Market Structure Roundtable

Securities Industry and Financial Markets Association (SIFMA)   Equity Market Structure Roundtable Tuesday, September 13, 2022 Topline SIFMA CEO Ken…

Type:

Date:

June 14, 2022

Issues:

Market Structure, Hearing Summaries

Senate FSGG Treasury Hearing

Senate Committee on Appropriations Subcommittee on Financial Services and General Government A Review of the Fiscal Year 2023 Budget Request…

Type:

Date:

September 14, 2021

Issues:

Senate Banking Committee, Market Structure, Hearing Summaries

SEC Oversight Hearing

Senate Committee on Banking, Housing, and Urban Affairs Oversight of the U.S. Securities and Exchange Commission Tuesday, September 14, 2021…

Type:

Date:

July 12, 2021

Issues:

Market Structure, Hearing Summaries

Financial Stability Board Money Market Fund Workshop

Financial Stability Board Workshop on Enhancing the Resiliency of Money Market Funds Monday, July 12, 2021 Opening Statements Hyun-Song Shin,…

Type:

Date:

February 10, 2020

Issues:

SEC, Market Structure, Hearing Summaries, Fixed Income Market Structure

SEC Fixed Income Market Structure Advisory Committee Meeting

Securities and Exchange Commission “Fixed Income Market Structure Advisory Committee Meeting” Monday, February 10, 2020 Discussion Panels Panel I: Credit…

Type:

Date:

January 8, 2020

Issues:

SEC, Market Structure, Hearing Summaries

Securities and Exchange Commission Open Meeting

U.S. Securities and Exchange Commission Open Meeting Wednesday, January 8, 2020   Key Topics & Takeaways New Consolidated Data Plan:…

Type:

Date:

September 9, 2019

Issues:

Market Structure, Hearing Summaries, CFTC

U.S. Commodity Futures Trading Commission Market Risk Advisory Committee Teleconference

U.S. Commodity Futures Trading Commission Market Risk Advisory Committee Teleconference Monday, September 9, 2019   Key Topics & Takeaways Plain-English…

Type:

Date:

July 29, 2019

Issues:

SEC, Market Structure, Hearing Summaries, Fixed Income Market Structure

SEC Fixed Income Market Structure Advisory Committee Meeting

Securities and Exchange Commission Fixed Income Market Structure Advisory Committee (FIMSAC) Meeting Monday, July 29, 2019   Discussion Panels Draft…

Type:

Date:

September 7, 2017

Issues:

SEC, Market Structure, Hearing Summaries

House Financial Services Committee Hearing with Robert Cook, CEO of FINRA

Key Topics & Takeaways FINRA 360: Several Representatives asked Robert Cook (President and CEO of FINRA) about FINRA 360, the…

Type:

Date:

May 11, 2017

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

Sept.Joint HFS -HOGR Subommittee Hearing Examines the JOBS Act

Type:

Date:

September 28, 2016

Issues:

SEC, Market Structure, Hearing Summaries

SEC Investor Advisory Committee Holds Meeting on Subcommittee Priorities

Type:

Date:

April 27, 2016

Issues:

SEC, Market Structure, Hearing Summaries

SEC Open Meeting on the CAT NMS Plan

Type:

Date:

March 3, 2016

Issues:

Senate Banking Committee, Market Structure, Hearing Summaries

Senate Banking Hearing on Equity Market Structure

Type:

Date:

February 3, 2016

Issues:

SEC, Market Structure, Hearing Summaries

SEC Equity Market Structure Advisory Committee

Type:

Date:

October 15, 2015

Issues:

SEC, Market Structure, Hearing Summaries

SEC Investor Advisory Committee meeting

Type:

Date:

September 22, 2015

Issues:

SEC, Market Structure, Hearing Summaries

SEC on Liquidity Risk Management for Open -End Funds

Type:

Date:

September 17, 2015

Issues:

Special Event, Market Structure, Hearing Summaries

Georgetown University Hosts Event on Financial Markets Quality

Type:

Date:

September 15, 2015

Issues:

Special Event, Market Structure, Hearing Summaries

Healthy Markets on Dark Pools with Sen. Warner

Type:

Date:

August 3, 2015

Issues:

Special Event, Market Structure, Hearing Summaries

Brookings Institution on Structural Issues in Bond Markets

Type:

Date:

July 13, 2015

Issues:

Special Event, Market Structure, Hearing Summaries

Rep . Neugebauer Roundtable on Fixed Income Market Liquidity

Type:

Date:

June 3, 2015

Issues:

SEC, Market Structure, Hearing Summaries

SEC Advisory Committee on Small and Emerging Companies Meeting

Type:

Date:

May 14, 2015

Issues:

SEC, Market Structure, Hearing Summaries, Equity Markets and Trading Committee, Equity Market Structure

SEC Equity Market Structure Advisory Committee Meeting

Type:

Date:

May 13, 2015

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

HFSC Hearing on Capital Formation Proposals

Type:

Date:

April 3, 2015

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

House Financial Services Hearing on Capital Formation

Type:

Date:

March 25, 2015

Issues:

SEC, Market Structure, Hearing Summaries

SEC Open Meeting on Regulation A + and Rule 15b9-1

Type:

Date:

March 4, 2015

Issues:

SEC, Market Structure, Hearing Summaries

SEC Advisory Committee on Small and Emerging Companies

Type:

Date:

March 1, 2015

Issues:

Senate Banking Committee, Market Structure, Hearing Summaries

Senate Banking on Venture Exchanges and Small Capital Formation

Type:

Date:

November 19, 2014

Issues:

SEC, Market Structure, Hearing Summaries

SEC Open Meeting on Regulation SCI

Type:

Date:

October 25, 2013

Issues:

SEC, Market Structure, Hearing Summaries

SEC on Proposed Rules for Crowdfunding

Type:

Date:

December 13, 2012

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

Examining the Impact of the Volcker Rule Part II

Type:

Date:

November 13, 2012

Issues:

Market Structure, Hearing Summaries, FSOC

FSOC Approves Three MMMF Reform Recommendations

Type:

Date:

July 11, 2012

Issues:

SEC, Market Structure, Listed Options Trading Committee, Hearing Summaries

SEC Approves New Rule Requiring Consolidated Audit Trail

Type:

Date:

June 19, 2012

Issues:

Market Structure, House Financial Services Committee, Hearing Summaries

House Financial Services Subcommittee Examines Market Structure Issues

About SIFMA

SIFMA is the voice of the U.S. securities industry. We advocate for effective and resilient capital markets.

SIFMA is a member of the GFMA Alliance

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