The Alternative Investment Management Association, the Managed Funds Association and the National Association of Private Fund Managers filed a Complaint against the SEC to vacate the agency's recently adopted rule to change the definitions of "dealer" and "government securities dealer.”
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The Financial Information Forum asked FINRA for clarification on new requirements for order routing disclosure reports for OTC and National Market System equity securities orders.
SIFMA and the Financial Information Forum urged the SEC to better understand the "magnitude" of the costs associated with changing the funding model for the National Market System Plan Governing the Consolidated Audit Trail.
The Financial Information Forum reiterated its opposition to a FINRA proposal requiring new order-routing disclosures for OTC and National Market System equity securities orders.
SIFMA urged the SEC to disapprove a joint SRO proposal to establish a revised funding model for the Consolidated Audit Trail.