Modernizing Delivery Requirements Under the Federal Securities Laws (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 steps…
SIFMA provides comments to the Municipal Securities Rulemaking Board (MSRB) on three proposed rule changes to MSRB Rule G-3 (MSRB Notice 2013-22):
SIFMA supports eliminating the requirement of MSRB Rule G-3(d) for certain firms to appoint at least one Financial and Operations Principal, and modifying the scope of permissible activities for a Limited Representative – Investment Company and Variable Contracts Products (Limited Representative) in MSRB Rule G-3(a)(ii)(C). However, SIFMA believes the proposed changes to MSRB Rule G-3(h), while well-intentioned, require additional consideration and analysis. SIFMA believes the MSRB should reconsider the proposal altogether, and provides preliminary feedback to the proposed changes.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
SIFMA AMG, Investment Company Institute (ICI), American Chamber of Commerce in Australia (AmCham Australia), Information Technology Industry Council (ITI), Managed…
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…