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) regarding a proposal, FINRA Regulatory Notice 10-01, to transfer the existing National Association of Securities Dealers (NASD) membership rules into the Consolidated FINRA Rulebook as the FINRA Rule 1100 Series, with significant substantive changes based, in part, on existing NYSE membership rules. SIFMA agrees in principle with FINRA’s stated goals of streamlining the standards of review for New Membership Applications (NMAs) and Continuing Membership Applications (CMAs). SIFMA presents its concerns about the business impact of the new advance notification requirements found in proposed FINRA Rule 1170. SIFMA also is troubled by the apparent breadth of two new evaluation standards for FINRA NMAs and CMAs.
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)…