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…
Summary
The Securities Industry Association (SIA)* provide comments to NASD Regulation, Inc. on a proposal to clarify the member firms’ suitability obligations to customers, Notice to Members (NTM) 96-60. SIA believes that NTM 96-90 has failed in its purpose, and unintentionally obscured the nature of a member firm’s suitability obligations.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding the Proposed Customer and Account Information System Amendment
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on the proposal, filed by the Consolidated Audit Trail,…
Type:
Invitation to Comment— Recognition of Intangibles
SIFMA comments to the Financial Accounting Standards Board (FASB) on the Invitation to Comment— Recognition of Intangibles (the “ITC”). SIFMA…