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
Testimony of John Taft, SIFMA Chairman, and Head of U.S. Wealth Management, RBC Wealth Management before the U.S. House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises hearing, The Regulation and Oversight of Broker-Dealers and Investment Advisers.
See Also:
- Comment Letter to the SEC: Proposed Framework for Rulemaking Under Section 913 (Fiduciary Duty) of the Dodd-Frank Act (July 14, 2011)
- Comment Letter to the U.S. House Education and the Workforce Subcommittee on Health, Employment, Labor and Pensions: DOL’s Proposal to Redefine Fiduciary (September 6, 2011)
- SIFMA & Oliver Wyman Study: Standard of Care Harmonization, Impact Assessment for the SEC (November 1, 2010)
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…