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 provides comments to the Securities and Exchange Commission (SEC) on the self-regulatory structure of the securities markets. SIFMA requests the SEC conduct a review of the regulatory structure of broker-dealers and exchanges, and the self-regulatory model. Recently, a distinguished group of legislators, regulators, and industry experts has called for a holistic review of U.S. equity market structure. These calls reflect the fact that regulatory developments combined with innovations in business and technology have brought significant changes to the equity markets. SIFMA supports a holistic review of equity market structure, and underscores the fact that the self-regulatory model is a crucial area for immediate attention. In addition, SIFMA believes a discrete review of the regulatory structure of broker-dealers, exchanges should be carried out now because that structure is widely viewed to be outdated and in need of reconsideration and reform.
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…