Advance Notice of Proposed Rulemaking on Reconsideration of Personal Financial Data Rights Rule
SIFMA provided comments to the Consumer Financial Protection Bureau (CFPB) on the Advance Notice of Proposed Rulemaking on Reconsideration of…
Summary
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on a proposed rule relating to the arbitration of employment discrimination claims, File No. SR-NASD-97-77. SIA offers support for the rule in its current form.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
Modernizing Communications and Record Retention Rules for Broker-Dealers,Investment Advisers, and Security-Based Swap Dealers (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary…
Type:
Proposed Rule Change to Amend the Exchange’s Rules to Enable the Trading of Securities on the Exchange in Tokenized Form
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the proposal by The Nasdaq Stock…