HFSC Markup of Various Capital Formation Bills
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
The Options Committee of the Securities Industry Association (SIA)* provides comments to the appreciates Securities and Exchange Commission (SEC) on proposals that would apply to exchange-listed options, Securities Exchange Act Release; No. 43085; File No. 57-17-00. Proposed Rule 11Ac1-7 would require broker-dealers to disclose to a customer when the customer’s order to buy or sell a listed option was executed at a price inferior to the best quote published at the time of execution of the customer’s order. Separately, it is proposed that Rule 11Ac1-1 be amended to require options exchanges and options market makers to publish firm quotes.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
SIFMA provided comments to the U.S. House of Representatives Committee on Financial Services on the Markup of Various Capital Formation…
Court: U.S. Court of Appeals (Ninth Circuit) (Rule 23(f) petition) Amicus Issue: Whether class action plaintiffs can satisfy the requirements…
SIFMA, the Financial Services Forum, Bank Policy Institute, and American Bankers Association provided comments to the Federal Reserve Board (FRB)…