Commentary by Steven Lofchie
In a letter to New York State officials, SIFMA and 26 other organizations expressed opposition to "any form" of a New York State Stock Transaction Tax.
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21980 News Results
Commentary by Steven Lofchie
The former CEO and chief financial officer of a Flexible Spending Account services company settled SEC charges for making material misstatements and omissions that resulted in the company's improper recognition of revenue.
A firm settled FINRA charges for its failure to properly screen non-registered associated persons for statutory disqualifications.
A Federal Reserve Board final rule to conform the capital planning, regulatory reporting and stress capital buffer requirements to those under the Federal Reserve Board's October 2019 prudential standards framework was published in the Federal Register.
SIFMA added new model disclosure documents for municipal security underwriters. The documents are intended to help underwriters "disclose risks associated with complex municipal securities financings."