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…
Issue
OTC Derivatives→
Summary
SIFMA, as part of a Coalition, provides comments to IOSCO on their August 2011 IOSCO-CPSS Consultation Report on OTC derivatives data reporting and aggregation requirements.
The Trade Associations support the IOSCO-CPSS position that “a system of legal entity identifiers (LEIs”) would be an essential tool for the aggregation of OTC derivatives”.
More Submissions
Type:
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…
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…