Testimony on Dodd-Frank Turns 15: Lessons Learned and the Road Ahead
SIFMA President and CEO, Kenneth E. Bentsen Jr., delivered testimony at a hearing before the U.S. House of Representatives Committee…
SIFMA and NetCoalition provide comments to the Securities and Exchange Commission (SEC) on the Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The NASDAQ Stock Market LLC to re-institute fees for NASDAQ Basic and to offer an Optional Nasdaq Basic Non-Professional Enterprise License Fee, File No. SR-Nasdaq-2011-130, Exchange Act Release No. 65526. The groups detail their objections and note the SEC’s actions are inconsistent with the recent decision of the United States Court of Appeals for the District of Columbia Circuit in NetCoalition v. Securities and Exchange Commission. The groups petition the SEC to temporarily suspend this rule change under recently amended Section 19(b)(3)(C) of the Exchange Act and institute proceedings to disapprove (or properly approve) those changes under Section 19(b)(2)(B) of the Exchange Act.
SIFMA President and CEO, Kenneth E. Bentsen Jr., delivered testimony at a hearing before the U.S. House of Representatives Committee…
SIFMA AMG and the undersigned associations provided comments to the Department of the Treasury (DOT) encouraging FSOC to restore the…
SIFMA provided comments to the Financial Industry Regulatory Authority (FINRA) on their request for public comment on modernizing FINRA rules,…