Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) in response to FINRA’s requests for comment on a rule proposal to implement the Comprehensive Automated Risk Data System (CARDS).
SIFMA believes that FINRA’s CARDS proposal would impose undue costs and burdens on the member firms, and is an attempt to diagnose a regulatory ill without appropriately accounting for the impact on investor privacy and civil liberties, and should not be filed with the Securities and Exchange Commission (SEC).
Related Material
Press Release: SIFMA Submits Comments Highlighting Significant Concerns with the FINRA CARDS Rule Proposal – December 1, 2014
SIFMA Submits Supplemental Comments to FINRA on Proposal to Develop the Comprehensive Automated Risk Data System (CARDS) – July 1, 2014
SIFMA Submits Comments to FINRA on Developing the Comprehensive Automated Risk Data System (CARDS) – March 21, 2014
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
We use cookies to provide our site visitors a valuable experience as well as relevant content and services. Please carefully review our Privacy Policy and Terms of Use; by using this website, you agree to the information set forth therein.