Data Security (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
SIFMA provides comments to the Municipal Securities Rulemaking Board (MSRB) on revisions to the MSRB Suitability Rule, G-19. SIFMA continues to support the harmonization of Rule G-19 with Financial Industry Regulatory Authority (FINRA) Rule 2111. Such harmonization will promote more effective business practices and efficient compliance. SIFMA believes the MSRB should eliminate or justify any differences between the proposal and FINRA 2111 – as separate rules covering the same conduct will unnecessarily lead to regulatory confusion and increased compliance costs.
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…