Access to Americans’ Bulk Sensitive Personal Data and Government-Related Data by Countries of Concern
SIFMA provided comments to the U.S. Department of Justice, National Security Division on the proposed rulemaking concerning bulk data transfers…
Summary
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.
More Submissions
Type:
Proposed Rule Change, as Modified by Partial Amendment No. 1, to Modify the GSD Rules to Facilitate Access to Clearance and Settlement Services of All Eligible Secondary Market Transactions in U.S. Treasury Securities (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…
Type:
Proposed Rule Change to Modify the GSD Rules (I) Regarding the Separate Calculation, Collection and Holding of Margin for Proprietary Transactions and That for Indirect Participant Transactions, and (ii) To Address the Conditions of Note H to Rule 15c3-3a (Joint Trades)
SIFMA, SIFMA AMG, the Investment Company Institute (ICI), Alternative Investment Management Association (AIMA), and the International Swaps and Derivatives Association…