Modernizing Delivery Requirements Under the Federal Securities Laws (SIFMA and SIFMA AMG)
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
SIFMA provides comments to the SEC on a proposal to amend FINRA Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. SIFMA’s comment is limited to disclosures about Expedited Proceeding and specifically, cases where a respondent successfully raises an “inability to pay” defense under FINRA Rule 9554 (failure to comply with an arbitration award). This letter responds to File No. SR-FINRA-2013-018; Release No. 34-69178.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that the SEC take necessary steps…
SIFMA AMG, Investment Company Institute (ICI), American Chamber of Commerce in Australia (AmCham Australia), Information Technology Industry Council (ITI), Managed…
SIFMA provided comments to the U.S Securities and Exchange Commission (SEC) to confirm their discussion on July 29, 2025 with…