Automatic Portability Transaction Regulations
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA provides comments to the Securities and Exchange Commission (SEC) on a proposed Framework for Rulemaking under Section 913 (Fiduciary Duty) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), File No. 4-604. The proposal would establish a uniform fiduciary standard of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers. SIFMA supports the development of a uniform fiduciary standard of conduct for broker-dealers and investment advisers when providing personalized investment advice about securities to retail customers.
SIFMA offers a framework and principles for rulemaking under Section 913 of the Dodd-Frank Act to help inform the Commission’s rulemaking process; and encourages further deliberation and dialogue about the optimal approach for implementing a uniform fiduciary standard of conduct in accordance with the Dodd-Frank Act that is designed to protect investors, preserve investor choice and access to cost-effective financial products and services, and adapt to the substantially different operating models of broker-dealers and investment advisers.
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA and The International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Office of the Comptroller of the…
SIFMA AMG provided comments to the Federal Energy Regulatory Commission on the Federal Power Act Section 203 Blanket Authorizations for…
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