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…
Issue
OTC Derivatives→
Summary
SIFMA provides comments to the Securities and Exchange Commission (SEC) on Proposed Rule 9j-1; Release No. 34-63236; File No. S7-32-10.
The SEC’s proposed rule expands the anti-manipulation provisions of Section 9 of the Exchange Act and authorizes the SEC to adopt rules to prevent fraud, manipulation and deception in connection with security-based swaps (SBS). SIFMA expresses concerns the Proposal is overly broad and does not accurately reflect relevant differences between SBS and securities.
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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…