Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (SIFMA and ISDA)
SIFMA and the International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Federal Reserve Board of Governors on…
Summary
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt a new, consolidated rule addressing accounts opened or established by associated persons of members at financial institutions other than the firm with which they are associated. FINRA proposes to adopt new FINRA Rule 3210 and to delete NASD Rule 3050, Incorporated NYSE Rules 407 and 407A and Incorporated NYSE Rule Interpretations 407/01 and 407/02.
See also:
Regulatory Notice 09-22
Filing by Financial Industry Regulatory Authority
More Submissions
Type:
FINRA Regulatory Notice 25-06; Recommendations re FINRA Rule 5510 and 5121
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
Type:
FINRA Regulatory Notice 25-06: Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…