Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
SIFMA submitted comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt FINRA Rule 2040 – Payments to Unregistered Persons (Proposed Rule 2040) and FINRA Rule 0190 – Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation (Proposed Rule 0190) and to amend FINRA Rule 8311 – Effect of a Suspension, Revocation, Cancellation, or Bar (Rule 8311).
More Submissions
Type:
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…