HFSC Markup of Various Capital Formation Bills
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on FINRA’s proposal regarding markups, commissions and fees, FINRA Regulatory Notice 13-07.
Although SIFMA appreciates the decision to withdraw the proposed retail equity commission schedule requirement, it remains concerned that the proposed service fee schedule for retail investors presents unnecessary burdens and application difficulties while offering very little new information not already available to retail customers. In addition, SIFMA shares concerns that the introduction of certain new terms and requirements risks confusion and requests that FINRA either confirm SIFMA’s understanding of their operation or amend them accordingly.
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
Court: U.S. Court of Appeals (Ninth Circuit) (Rule 23(f) petition) Amicus Issue: Whether class action plaintiffs can satisfy the requirements…
SIFMA, the Financial Services Forum, Bank Policy Institute, and American Bankers Association provided comments to the Federal Reserve Board (FRB)…