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 provides comments to the Securities and Exchange Commission (SEC) on the Municipal Securities Rulemaking Board’s (MSRB’s) notice of filing of a proposed rule change consisting of amendments to Rule G-16 on periodic compliance examination and Rule G-9 on preservation of records, SR-MSRB-2011-19. While SIFMA supports the proposed amendments to Rule G-16, which would allow FINRA and the MSRB to establish a risk-based compliance program consistent with FINRA’s requirement for cycle examinations of all other FINRA members, SIFMA does not support the proposed amendments to Rule G-9, which would extend certain record keeping requirements from three years to four years. SIFMA believes that such a change is not warranted to support the proposed changes to the frequency of the cycle examinations.