Request for Comment on Statement by Commissioner Hester M. Peirce Re: Crypto RFI (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG submitted additional comments to the U.S. Securities and Exchange Commission (SEC) in response to the statement…
PSA The Bond Market Association (TBMA) provides comments to the National Association of Securities Dealers Regulation, Inc. (NASDR) on the NASDR’s proposal to exempt investment grade rated debt offerings from the scope of the NASD Free-Riding and Withholding Interpretation (IM-2110-1), NASDR Request for Comment 97-30. PSA TBMA strongly supports the exemption and offers additional observations relating to the proposal.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
SIFMA and SIFMA AMG submitted additional comments to the U.S. Securities and Exchange Commission (SEC) in response to the statement…
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether an employee can retrospectively recast deferred compensation programs as “ERISA…
Court: U.S. Court of Appeals (First Circuit) Amicus Issue: Whether financial advisors have fiduciary duty obligations that require investment managers…