Access to Americans’ Bulk Sensitive Personal Data and Government-Related Data by Countries of Concern
SIFMA provided comments to the U.S. Department of Justice, National Security Division on the proposed rulemaking concerning bulk data transfers…
Summary
SIFMA’s statement for the record before the Capital Markets and Government Sponsored Enterprises Subcommittee and Oversight and Investigations Subcommittee at a hearing entitled “Preserving Retirement Security and Investment Choices for All Americans.”
In this statement, SIFMA reiterates its long-standing support of a best interest or uniform fiduciary standard of care for brokers and advisors when providing personalized investment advice, but reiterates its concern that this proposal is unworkable.
See also:
Employee Retirement Income Security Act — ERISA
Conflict of Interest Proposed Rule
SIFMA’s DOL Fiduciary Resource Center
More Submissions
Type:
Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…
Type:
Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…