Advance Notice of Proposed Rulemaking on Reconsideration of Personal Financial Data Rights Rule
SIFMA provided comments to the Consumer Financial Protection Bureau (CFPB) on the Advance Notice of Proposed Rulemaking on Reconsideration of…
Summary
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on ways to facilitate and increase investor use of BrokerCheck information, FINRA Regulatory Notice 12-10. SIFMA believes that the information maintained in BrokerCheck must be accurate, clear, concise, and relevant to the investor, and must be balanced against member firms’ and their employees’ legitimate privacy interests, and expectations of fairness and balance.
More Submissions
Type:
Modernizing Communications and Record Retention Rules for Broker-Dealers,Investment Advisers, and Security-Based Swap Dealers (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary…
Type:
Proposed Rule Change to Amend the Exchange’s Rules to Enable the Trading of Securities on the Exchange in Tokenized Form
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the proposal by The Nasdaq Stock…