HFSC Markup of Various Capital Formation Bills
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
Summary
SIFMA provides supplemental comments to he Financial Industry Regulatory Authority (FINRA) on the concept proposal by FINRA to develop the CARDS concept. SIFMA previously filed a comment letter on the concept proposal that discusses a range of significant concerns that SIFMA has with the CARDS concept.
March 21, 2014 Comment Letter:
SIFMA Submits Comments to FINRA on Developing the Comprehensive Automated Risk Data System (CARDS)
Related Rule Filing:
Regulatory Notice 13-42 – FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
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Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (Joint Trades)
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