Complaint Filed in the U.S. District Court for the Northern District of Texas Fort Worth Division on DOL’s Fiduciary Rule
SIFMA and FSI filed a complaint in the U.S. District Court for the Northern District of Texas Worth Division on…
SIFMA, the Investment Company Institute (ICI), and Managed Funds Association (MFA) (collectively, the associations) wrote a letter to the Securities and Exchange Commission (SEC) in support of efforts to improve the transparency of the equity markets.
Additionally, the associations prepared an order routing disclosure template for the minimum disclosure of order routing and execution quality information that institutional investors could request from their broker-dealers.
The associations hope the template will inform any potential rulemaking by the SEC staff as it prepares a recommendation for a rule that would require, upon institutional investor request, disclosure of useful, reliable, and uniformly available customer-specific order routing information.
Related Material
Order Routing Disclosure Template
SIFMA’s Cross Product Standard Forms and Documentation Library
SIFMA and FSI filed a complaint in the U.S. District Court for the Northern District of Texas Worth Division on…
SIFMA, The American Bankers Association (ABA), the Bank Policy Institute (BPI), and the Institute of International Bankers (IIB), provided comments…
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) in response to the Commission’s institution of proceedings to…