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 submitted comments on the Municipal Securities Rulemaking Board’s (MSRB) filing with the Securities and Exchange Commission (SEC) on notice of filing of a Proposed Rule Change Consisting of Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions with Sophisticated Municipal Market Professionals (SMMP), and Rule D-15, on the Definition of SMMP (the Proposal).
SIFMA supports raising the execution standard in the municipal market for retail customers in a way that reflects the current market structure and unique characteristics of the municipal market. SIFMA believes that the MSRB has thoughtfully developed and proposed revisions to MSRB Rule G-18 that reflect the unique characteristics of the municipal securities market and warrant certain departures from FINRA 5310. SIFMA also supports the proposed changes to Rule G-48.
However, SIFMA has significant concerns regarding the proposed changes to Rule D-15 and urges the SEC not to move forward with the proposed changes to D-15 at this time to allow the MSRB to solicit public comments for its board members to consider. In the alternative, SIFMA is requesting that the SEC adopt SIFMA’s proposed revisions to Rule D-15.
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…
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