Supplemental Comments on Federal Power Act Section 203 Blanket Authorizations for Investment Companies (SIFMA AMG)
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
The Arbitration Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on a proposal by the Financial Industry Regulatory Authority (FINRA) relating to whistleblower claims in arbitration, File No. SR-FINRA-2011-067. To the extent the proposal simply aligns FINRA’s rules with Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), and other federal statutes that do not require parties to arbitrate whistleblower claims, SIFMA supports the proposed change. However, SIFMA shares its concerns with certain language in the proposal, and offers recommendations that would clarify the scope and applicability of the proposed rule changes.
SIFMA AMG provided comments to the Federal Energy Regulatory Commission replying to certain comments filed in the Notice of Inquiry…
SIFMA and SIFMA AMG provided comments to the Commodity Futures Trading Commission (CFTC) on their request for public comment on…
SIFMA AMG provided comments to the Federal Deposit Insurance Corporation (FDIC) on their consideration of various proposals to revise the…
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