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…
Issue
Equity Market Structure→
Summary
SIFMA requests that the Securities and Exchance Commission (SEC) grant an exemption from the large trader reporting rule (SEC Rule 13h-1) for certain capital markets transactions that may trigger large trader registration, including for those entities that are not the most active market participants or that do not conduct a large trader business, as intended by the rule.
More Submissions
Type:
CenturyLink v. Houser
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…
Type:
Request for Comment on Statement by Commissioner Hester M. Peirce
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the recent Statement…