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 provided comments to FINRA on FINRA Regulatory Notice 17-15 to FINRA’s Corporate Financing Rule. SIFMA supports FINRA’s efforts to review, streamline and modernize its rules and believes the proposed amendments to Rule 5110 are an important step in that process. Rule 5110 impacts nearly every U.S. public offering and thus greatly affects the capital formation process.
See also:
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
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…