Data Security (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on proposed amendments to FINRA Rule 5110 (the Corporate Financing Rule) regarding certain deferred compensation arrangements in public offerings (the Deferred Compensation Proposal), FINRA Regulatory Notice 12-27. Although SIFMA agrees with the rationale and intent of the Deferred Compensation Proposal and encourages swift action to implement the changes proposed, it recommends certain modifications to the actual text of the proposed revisions.
More Submissions
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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…
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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…