Several trade associations highlighted concerns about an SEC proposal to establish minimum standards for investment advisers before outsourcing certain services or functions.
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SIFMA urged the SEC to approve FINRA's proposal to implement a voluntary three-year pilot program to allow broker-dealers to conduct annual office inspections remotely.
SIFMA and SIFMA Asset Management Group raised objections to the SEC proposal to reinterpret the term "exchange" as used in the Securities Exchange Act .
SIFMA requested that FINRA allow member firms to rely on remote branch inspection programs for the duration of the COVID-19 pandemic.
Investment Company Institute President Paul Schott Stevens urged state governors to grant mutual funds the same exemptions provided to banks when imposing "stay-at-home" directives.