The SEC approved a FINRA rule amendment to allow the disclosure of BrokerCheck's designation of "Restricted Firms."
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In an FIA and SIFMA Asset Management Group flash poll conducted in January 2023, the associations found that - largely due to the regulatory environment - members expect further consolidation in the derivatives industry and a decrease in product offerings.
SIFMA requested an extension of the comment period for four rule proposals targeting equity market reform. In connection with this, SIFMA submitted a FOIA request calling on the SEC to supply certain data relied upon and referenced in the proposed rulemakings.
The OCC revised the "Branch Closings" booklet of the Comptroller's Licensing Manual.
In comments on FRB draft "Principles for Climate-Related Financial Risk Management for Large Financial Institutions," ISDA and SIFMA cautioned against prematurely incorporating climate-related financial risks into capital and liquidity adequacy assessments.