Concept Release on Harmonization of Securities Offering Exemptions
SIFMA provides comments to the Securities and Exchange Commission (SEC) in response to request for public comment on registration exemptions…
Securities Offering Reform for Closed-End Investment Companies
SIFMA provides comments to the Securities and Exchange Commission (SEC) on the proposed rules and related amendments that would permit…
FINRA Proposed Changes to Rule 5110
SIFMA provides comments to the Securities and Exchange Commission (SEC) on SR-FINRA-2019-012, rule change proposal, which sets forth extensive proposed…