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 provided comments to the Securities and Exchange Commission (SEC) regarding the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt FINRA Rule 3110(e) into the Consolidated Rulebook.
SIFMA believes the change will augment the obligations firms currently have under NASD Rule 3010(e) and Incorporated NYSE Rule 345.11 by adding a requirement to adopt reasonably designed procedures to verify the accuracy and completeness of the information contained in an applicant’s Form U4 (Uniform Application for Securities Industry Registration or Transfer) no later than 30 calendar days after the filing of the Form U4.
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
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