Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
SIFMA AMG provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposed rule change to amend various aspects of Rule 2210 governing communications with the public. AMG strongly supports FINRA’s engagement in a retrospective rule review and believes that the proposed amendments will result in benefits for asset management firms and investors.
See also:
FINRA Rule 2210 Questions and Answers
More Submissions
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…
Type:
Recommendations on Reforms to the Consolidated Audit Trail
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…