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…
The E-Records Modernization Task Force of SIFMA provides comments to the Securities and Exchange Commission (SEC) on proposed revisions to Rule 17a-4 of the Securities Exchange Act of 1934 (Exchange Act). After a meeting with members of SIFMA’s Task Force, the SEC requested comments on the proposed revisions and responses to several of the open issues relating to the proposed revisions. SIFMA encourages the SEC to further enhance the revisions to meet the technology needs of SIFMA members’ firms without any corresponding harm to the SEC’s and the industry’s investment protection efforts.
See, also:
Petition for Rulemaking to Amend Exchange Act Rule 17a-4(f) – Addendum, May 24, 2018
SIFMA Submits Rulemaking Petition on SEC Electronic Recordkeeping Requirements – Nov. 14, 2017
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…