FINRA Regulatory Notice 25-06; Recommendations re FINRA Rule 5510 and 5121
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
Summary
The Securities Industry Association (SIA)* provides comments to the Securities and Exchange Commission (SEC) on the SEC’s Concept Release on the oversight of alternate trading systems (ATSs), File No. S7-16-97, Release No. 34-38672. SIA offers key conclusions about the issues raised by the Concept Release.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
More Submissions
Type:
FINRA Regulatory Notice 25-06: Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
Type:
Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…