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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Tracking the New Rules: SIFMA Comment Letters
SIFMA has been active in challenging policymakers and regulators on regulatory reforms that touch almost every aspect of financial services. For that reason, C-I regularly tracks SIFMA for comment letters, testimony and such - something you Members and visitors should do, as well. Some of the hot-button issues that SIFMA's been talking or writing about, with their links:
- 12/10: Comment Letter to SEC re: Implementation of Dodd-Frank Act Relating to Conflicts of Interest.
- 12/8: Comment Letter to SEC on Fees for NYSE Arca Depth-of-Book Data (submitted with NetCoalition).
- 12/7: Testimony by Leslie Norwood at SEC Field Hearing on State of the Municipal Securities Market.
- 12/6: Comment Letter to SEC and CFTC on New Derivatives Regulations (submitted with other associations).
- 12/3: Comment Letter to FINRA on proposal relating to Fiduciary Standard.
- 12/3: Comment Letter to FINRA on proposal to amend rules related to the option to choose an all-public arbitration panel.
To link to Issue Activity index, click onto: [SIFMA Issue Activities as of 12/13].
Executive summaries to follow ...................
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