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Fried Frank Harris Shriver & Jacobson LLP | USA | 1 Feb 2023

SIFMA Opposes FINRA's Proposed Approach to Delayed Treasury Spot Trade Reporting

SIFMA and SIFMA Asset Management Group (the "Associations") opposed FINRA's proposal regarding reporting requirements for delayed Treasury spot…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 31 Jan 2023

SIFMA Urges MSRB to Broaden Proposed Exemption on Requalification

SIFMA asked the MSRB to broaden a proposed exemption to allow individuals who have been out of the Securities Industry for a limited time to…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 30 Jan 2023

SIFMA Urges MSRB to Extend Filing Deadlines in Proposal to Streamline Primary Offering Form Submissions

In a Comment Letter on the MSRB's proposal to standardize deadlines on Form G-32 requirements in connection with primary offerings, SIFMA urged the…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 26 Jan 2023

SIFMA Urges CFPB to Provide More Clarity for Proposals on Consumer Rights to Access Personal Financial Information

In comments on a CFPB Small Business Review Panel outline of proposals to implement a consumer's right to access personal financial information…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 25 Jan 2023

SIFMA Urges Banking Regulators Not to Require Enhanced Resolution Requirements for Broker-Dealer LBOs

In response to an Advance Noticed of Proposed Rulemaking ("ANPR") that would add "an extra layer of loss-absorbing capacity" in resolving certain…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 13 Jan 2023

SIFMA Urges SEC to Disapprove Revised CAT Funding Model

SIFMA urged the SEC to disapprove a joint self-regulatory organization ("SRO") proposal to establish a revised funding model for the Consolidated…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 9 Jan 2023

SIFMA Urges DOL to Withdraw Proposed Amendments to QPAM Exemption

SIFMA requested that the DOL withdraw proposed amendments to the Prohibited Transaction Class Exemption 84-14 (the "QPAM Exemption"). SIFMA argued…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 4 Jan 2023

Associations Criticize SEC Proposal on Investment Adviser Outsourcing

Several trade associations highlighted concerns about an SEC proposal to establish minimum standards for investment advisers before outsourcing…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 7 Nov 2022

SIFMA Says Financial Institutions Can Manage Misuse of Digital Assets

In response to a Treasury request for comment on the use of digital assets in illicit finance activities, SIFMA asserted that traditional financial…
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Fried Frank Harris Shriver & Jacobson LLP | USA | 14 Oct 2022

SIFMA Says Digital Asset Framework Should Build Upon Existing Regulations

SIFMA recommended that Congress craft legislation on regulating digital assets that (i) prioritizes investor protections, (ii) applies a…
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