SIFMA
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SEC hints long-awaited e-delivery rule could be imminent
House lawmakers are also moving to allow electronic investor disclosures and communications, but the SEC may act first.
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SIFMA says more than 90 participants tested its disaster prep plans
The testing involved simulated trading, post-trade activity, and regulatory trade reporting.
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SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can “more effectively manage their relationships with clients through seamless and modern communication.”
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SIFMA releases capital markets report for 2024
The report tells a story of rebounding fortunes after an uncertain 2023.
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SIFMA conference highlights efficient, dynamic US equity markets
Rapid structural change is, however, leading to some industry challenges, which are accentuated by changes in investors’ needs
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The CAT is in danger, says Barron’s
The Consolidated Audit Trail (CAT) is a powerful tool to detect market manipulation, but the industry is complaining about skyrocketing costs.
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NASAA adopts model rule update to incorporate Reg BI at state level
The model rule significantly scales back a version from 2023 that industry participants said created new compliance obligations.
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SIFMA C&L 2025 Recap: The future of US state regulation
Federal financial markets regulation is being relaxed. Will the states take up the slack?