Amendment in the Nature of a Substitute – American Privacy Rights Act (Joint Trades)
SIFMA, American Bankers Association (ABA), America’s Credit Unions (ACU), Bank Policy Institute (BPI), Consumer Bankers Association (CBA), and the Independent…
Summary
SIFMA provided comments to FINRA on FINRA Regulatory Notice 17-15 to FINRA’s Corporate Financing Rule. SIFMA supports FINRA’s efforts to review, streamline and modernize its rules and believes the proposed amendments to Rule 5110 are an important step in that process. Rule 5110 impacts nearly every U.S. public offering and thus greatly affects the capital formation process.
See also:
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
More Submissions
Type:
Required Minimum Distributions
SIFMA provided comments to the Internal Revenue Service (IRS) on the 2024 proposed required minimum distribution regulations.
Type:
Bitounis v. Interactive Brokers LLC
Court: Ohio Supreme Court Amicus Issue: Whether a broker-dealer or banker may be held liable under Ohio’s aiding and abetting…