Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
Issue
The Individual Investor→
Summary
SIFMA submitted a comment letter to the Securities and Exchange Commission requesting further relief from the recently imposed requirement under the Financial Responsibility Rules that a broker-dealer obtain prior written consent from a customer before placing customer funds into a sweep program.
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Australia Public Country-by-Country Reporting Regime
SIFMA AMG, Investment Company Institute (ICI), American Chamber of Commerce in Australia (AmCham Australia), Information Technology Industry Council (ITI), Managed…
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Confirmation Letter Related to the UST Clearing Working Group’s Accounting Treatment for UST Repo Transactions Cleared Through FICC White Paper
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…