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…
Issue
Equity Market Structure→
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on its Regulatory Notice 11-43, which discusses possible amendments to Rule 5210 concerning indications of interest. SIFMA believes that FINRA’s current approach to the regulation of IOIs adequately addresses the regulatory concerns raised in the new notice, and thus does not believe that any additional or new regulation of IOIs is necessary.