Public Comment on CCPA Updates, Cyber, Risk, ADMT, and Insurance Regulations
SIFMA provided comments to the California Privacy Protection Agency (CPPA) in response to the modifications to the Proposed Regulations on…
The Investment Company Committee of the Securities Industry Association (SIA)* provides comments to the National Association of Securities Dealers (NASD) Regulation, Inc. relating to the regulation of payment and receipt of cash compensation for the sale and distribution of investment company securities, NASD Notice to Members 97-50. SIA notes there has been no evidence of wide-spread abuses regarding cash compensation in connection with the sale of securities, including investment company securities.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
SIFMA provided comments to the California Privacy Protection Agency (CPPA) in response to the modifications to the Proposed Regulations on…
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on the proposal, filed by the Consolidated Audit Trail,…
SIFMA comments to the Financial Accounting Standards Board (FASB) on the Invitation to Comment— Recognition of Intangibles (the “ITC”). SIFMA…