Testimony on Financial Institutions and Monetary Policy
SIFMA President and CEO, Kenneth E. Bentsen Jr. delivered testimony at a virtual hearing before the U.S. House of Representatives…
SIFMA provided comments to FINRA on FINRA Regulatory Notice 17-15 to FINRA’s Corporate Financing Rule. SIFMA supports FINRA’s efforts to review, streamline and modernize its rules and believes the proposed amendments to Rule 5110 are an important step in that process. Rule 5110 impacts nearly every U.S. public offering and thus greatly affects the capital formation process.
See also:
FINRA Requests Comment on Proposed Amendments to the FINRA Corporate Financing Rule
SIFMA President and CEO, Kenneth E. Bentsen Jr. delivered testimony at a virtual hearing before the U.S. House of Representatives…
Court: U.S. Court of Appeals (Eleventh Circuit) Amicus Issue: Whether the court should grant injunctive relief to prevent SROs from…
Court: U.S. Supreme Court (pet. for writ of cert.) Amicus Issue: Whether, under the Consumer Financial Protection Act, the defendants,…