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 Municipal Securities Rulemaking Board (MSRB) on proposed Rule A-11(c) which would establishing an interim Municipal Advisor Assessment, draft Form A-11-Survey (Municipal Advisor Survey) and related issues raised in MSRB Notice 2011-34.
On August 29, 2011, SIFMA submitted a comment letter to the Securities and Exchange Commission (SEC) on many issues raised in Notice 2011-34, including the proposed new assessment on municipal advisory firms and proposed new Form A-11-Interim.
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…
Type:
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…