In a blog post, SIFMA executives criticized the SEC for its aggressive rulemaking agenda during a time of high inflation, rising interest rates and significant geopolitical events that could adversely affect the real economy.
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21975 News Results
A broker-dealer settled FINRA charges for failing to comply with Large Option Positions Reporting system requirements.
SEC Investor Advocate Rick A. Fleming urged NASDAQ and the NYSE to revise their listing standards so that business combinations could only be consummated for SPACs when 50 percent or more of public shares are invested in the SPAC post-combination.
SIFMA and SIFMA Asset Management Group raised objections to the SEC proposal to reinterpret the term "exchange" as used in the Securities Exchange Act.
In a testimony before the House Financial Services Committee, CFPB Director Rohit Chopra reviewed progress to date on the agency's consumer protection agenda.