Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (SIFMA and ISDA)
SIFMA and the International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Federal Reserve Board of Governors on…
Summary
PSA The Bond Market Association (TBMA) provides comments to the Securities and Exchange Commission (SEC) on proposed rule change by National Association of Securities Dealers Regulation, Inc. (NASDR) to NASD Conduct Rules 3010 (Supervision) and 3110 (Books and Records), File No. SR-NASD-97-24. TBMA reaffirms its support and urges prompt adoption of these rules by the SEC in the amended form proposed by the NASDR.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
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FINRA Regulatory Notice 25-06; Recommendations re FINRA Rule 5510 and 5121
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
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FINRA Regulatory Notice 25-06: Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…