SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on a proposed new FINRA Rule 3190 relating to third-party service providers, FINRA Regulatory Notice 11-14 . Proposed new FINRA Rule 3190 seeks to clarify a member firm’s obligations and supervisory responsibilities regarding outsourcing arrangements. SIFMA shares concerns over the potential disruption the proposal may have on industry outsourcing arrangements undertaken in conformity with FINRA’s existing regulatory guidance.
SIFMA, The American Bankers Association (ABA), Bank Policy Institute (BPI), Independent Community Bankers of America (ICBA), and Institute of International…
SIFMA, SIFMA AMG, and the International Swaps and Derivatives Association, Inc. (ISDA) provided comments in response to the U.S. Commodity…
SIFMA provided comments to the U.S. Department of the Treasury (DOT) in response to Executive Order 14219, “Ensuring Lawful Governance…