CenturyLink v. Houser
Court: Colorado Supreme Court Amicus Issue: Whether C.R.C.P. 11 (which is identical to Fed.R.Civ.P. 11), which imposes a non-delegable duty…
Letters
FINRA Proposal to Establish Securities Trader and Securities Trader Principal Registration Categories
Summary
SIFMA provides comments to the Securities and Exchange Commission (SEC) on FINRA’s proposed amendments to NASD Rule 1032(f) to replace the Equity Trader registration category and qualification examination (Series 55) with a Securities Trader registration category and qualification examination (Series 57) and NASD Rule 1022(a) to establish a Securities Trader Principal registration category.
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More Submissions
Type:
Request for Comment on Statement by Commissioner Hester M. Peirce
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the recent Statement…
Type:
Supplemental Comments on Digital Asset Markets (Joint Trades)
SIFMA and joint associations provided additional comments to the President’s Working Group (PWG) on Digital Asset Markets Chair in support…