Data Security (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Summary
SIFMA provided comments to the Securities and Exchange Commission (SEC) on the Municipal Securities Rulemaking Board’s (MSRB) proposed Rule G-42 on duties of non-solicitor municipal advisors, and proposed amendments to Rule G-8, on books and records to be made by brokers, dealers, municipal securities dealers, and municipal advisors.
See also:
Self-Regulatory Organizations; Proposed Rule Changes: Municipal Securities Rulemaking Board
More Submissions
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…
Type:
Recommendations on Reforms to the Consolidated Audit Trail
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) on recommendations for reforms to the Consolidated Audit Trail…