Regulatory Capital Rule: eSLR, TLAC, and Long-Term Debt Requirements for US GSIBs (Joint Trades)
SIFMA, The International Swaps and Derivatives Association, Inc. (ISDA), and the Futures Industry Association (FIA) submitted comments to the Board…
Summary
The Technology Regulatory Subcommittee, the Federal Regulation Committee, the Self-Regulation and Supervisory Practices Committee and the Compliance and Legal Division of the Securities Industry Association (SIA)* provide comments to the National Association of Securities Dealers Regulation, Inc. (NASDR) on proposed amendments to Conduct Rules 3010 (Supervision) and 3110 (Books and Records), NASD Notice to Members 96-82. SIA strongly supports the proposed rule changes.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
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CT Plan Filing for Fees Charged to Vendors and Subscribers for Consolidated Equity Market Data, CT Plan Policies, and Data Subscriber Agreements
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) to ensure that the single national market system plan…
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Withholding With Respect to Digital Asset Transactions
SIFMA provided supplemental comments to the U.S. Department of Treasury (DOT) on its September 13, 2024, letter regarding brokers’ information…