Additional Comments on NASAA’s Re-proposal of Revisions to its Model Rule
SIFMA provided additional comments to the North American Securities Administrators Association, Inc. (NASAA) on the re-proposal of revisions to its…
Summary
The Employee Benefits Security Administration (EBSA) of the U.S. Department of Labor held a hearing to consider issues related to adopting a regulation defining when a person is considered to be a “fiduciary'” by reason of giving investment advice to an employee benefit plan or to a plan’s participants and beneficiaries.
Kenneth E. Bentsen, Jr., Executive Vice President, Public Policy and Advocacy, SIFMA testified along with employers, 401(k) participants and representatives, financial institutions, and benefit professionals.
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Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers (Joint Trades)
SIFMA AMG, MFA, AIMA, and IAA provided comments to the U.S. Securities and Exchange Commission (SEC0 and Commodity Futures Trading…
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Call for Evidence: Submission from the British American Finance Alliance (BAFA)
The British American Finance Alliance (BAFA) submitted comments to the U.K. HM Treasury on the Call for Evidence under the Financial…