Testimony on the Need for Reauthorization of the CISA Act
Chief Information Security Officer of Northern Trust, Karl Schimmeck, delivered testimony on behalf of SIFMA at a hearing before the…
Summary
SIFMA provides comments to the Securities Division of the Washington State Department of Financial Institutions on proposed rulemaking relating to custody requirements for investment advisers, WSR 08-07-055. The proposed rule would provide greater uniformity with the custody rules of the SEC and other states that have adopted the NASAA model custody rule. SIFMA seeks clarification on parts of the proposal so as to offer its experience and expertise throughout the rulemaking process.
More Submissions
Type:
CenturyLink v. Houser
Court: Colorado Supreme Court Amicus Issue: Whether C.R.C.P. 11 (which is identical to Fed.R.Civ.P. 11), which imposes a non-delegable duty…
Type:
Request for Comment on Statement by Commissioner Hester M. Peirce
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the recent Statement…