Automatic Portability Transaction Regulations
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA provides supplemental comments to he Financial Industry Regulatory Authority (FINRA) on the concept proposal by FINRA to develop the CARDS concept. SIFMA previously filed a comment letter on the concept proposal that discusses a range of significant concerns that SIFMA has with the CARDS concept.
March 21, 2014 Comment Letter:
SIFMA Submits Comments to FINRA on Developing the Comprehensive Automated Risk Data System (CARDS)
Related Rule Filing:
Regulatory Notice 13-42 – FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
SIFMA provided comments to the Department of Labor (DOT) on their proposed Automatic Portability Transaction Regulations under Section 4975 of…
SIFMA and The International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Office of the Comptroller of the…
SIFMA AMG provided comments to the Federal Energy Regulatory Commission on the Federal Power Act Section 203 Blanket Authorizations for…
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