Testimony on the Need for Reauthorization of the CISA Act
Chief Information Security Officer of Northern Trust, Karl Schimmeck, delivered testimony on behalf of SIFMA at a hearing before the…
The Options Committee of the Securities Industry Association (SIA)* provides comments to the appreciates Securities and Exchange Commission (SEC) on proposals that would apply to exchange-listed options, Securities Exchange Act Release; No. 43085; File No. 57-17-00. Proposed Rule 11Ac1-7 would require broker-dealers to disclose to a customer when the customer’s order to buy or sell a listed option was executed at a price inferior to the best quote published at the time of execution of the customer’s order. Separately, it is proposed that Rule 11Ac1-1 be amended to require options exchanges and options market makers to publish firm quotes.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
Chief Information Security Officer of Northern Trust, Karl Schimmeck, delivered testimony on behalf of SIFMA at a hearing before the…
Court: Colorado Supreme Court Amicus Issue: Whether C.R.C.P. 11 (which is identical to Fed.R.Civ.P. 11), which imposes a non-delegable duty…
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the recent Statement…