Request for Comment on Statement by Commissioner Hester M. Peirce Re: Crypto RFI (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG submitted additional comments to the U.S. Securities and Exchange Commission (SEC) in response to the statement…
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) and the Office of Management and Budget (OMB) on Electronic Blue Sheet (EBS) submissions, Rule 17a-25; SEC File No. 270-482; OMB Control No. 3235-0540. SIA believes there are more efficient methods to meet the regulatory objectives that EBS serves, including methods that are already in existence.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
SIFMA and SIFMA AMG submitted additional comments to the U.S. Securities and Exchange Commission (SEC) in response to the statement…
Court: U.S. Court of Appeals (Fourth Circuit) Amicus Issue: Whether an employee can retrospectively recast deferred compensation programs as “ERISA…
Court: U.S. Court of Appeals (First Circuit) Amicus Issue: Whether financial advisors have fiduciary duty obligations that require investment managers…