Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
The Federal Regulation and Self-Regulation Committees of the Securities Industry Association (SIA)* provide comments to the Securities and Exchange Commission on the National Association of Securities Dealers, Inc. (NASD) proposed guidance (Rule IM-2440-2) on mark-up and mark-down practices for debt securities other than municipal securities, File No. SR-NASD-97-61. SIA offers important modifications to improve the proposal.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…
Type:
Recommendations on Reforms to the Consolidated Audit Trail
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…