Regulatory Notice 25-04: FINRA Rulebook Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
SIFMA provides comments to the Municipal Securities Rulemaking Board (MSRB) on a proposal for proprietary desk transactions to be reported to the MSRB’s Real-Time Transaction Reporting System (RTRS) as customer transactions under MSRB Rule G-14, MSRB Notice 2008-19. SIFMA shares concerns that the proposal would create new inconsistencies and would result in interpretive issues involving the treatment of the proprietary desk as a customer that would produce significant problems of implementation.
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…