Topic
SIFMA
45 published works
The CLS Blue Sky Blog
The Implications of the SEC and CFTC’s Stock Market Deregulation
By Renholding
The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) seem to be racing each other to greenlight retail-facing financial products that are holographic images of stocks. …
Free Writings + Perspectives
Cybersecurity-Focused Regulation S-K Joint Trades Comment Letter
By Hema Gharia
On April 10, 2026, five trade associations—the American Bankers Association, the Bank Policy Institute, SIFMA, the Independent Community Bankers of America, and the Institute of International Bankers—submitted a joint comment…
The CLS Blue Sky Blog
SEC Commissioner Uyeda Speaks at SIFMA’s Private Markets Valuation Roundtable
Good morning, and thank you for convening this roundtable on private market valuation. My remarks reflect my views as an individual Commissioner and not necessarily the views of the full…
Southern California Appellate News
"you can't get there from here"
4/3 issues this unpub with this cute line:Although this appeal presents many issues and requires extensive analysis, our decision can be expressed simply by that well-known saying from Maine, “you…
Banking, Finance and Securities
SIFMA to SEC on Digital Assets: Ensure Investor Protection; Apply Existing Principles
SIFMA and the SIFMA Asset Management Group urged the SEC to "apply existing and well-understood securities regulatory principles to digital assets, rather than creating a distinct architecture for this class…
Free Writings + Perspectives
SIFMA C&L 2024 New York Regional Seminar
Seminar | Wednesday, October 16, 20248:00am - 5:00pm EDTRegister here. Mayer Brown is pleased to sponsor SIFMA's C&L Regional Seminar in New York City. C&L Regional Seminars gather compliance and…
Free Writings + Perspectives
SIFMA Fact Book—Capital Markets Activity
By Anna T. Pinedo, Carlos E. Juarez
Last week, SIFMA released its annual Capital Markets Fact Book, which reports comprehensive data on capital markets activity generally. The U.S. equity markets represent 42.6% of the $115 trillion global…
Global Regulation Tomorrow
New briefing note – Rule 192 – US conflicts rule may hit UK and European securitisations and repackagings
By Michele Daelemans, Christian Lambie, David Shearer (UK)
On 27 March 2023 both SIFMA and AFME submitted letters of comment to the US Securities and Exchange Commission (the SEC) responding to the SEC’s Release No. 33-11151 proposing new Rule…
Consumer Finance Spotlight
FINRA’s 2023 Priorities and Examination Findings Report from Monthly SIFMA Luncheon
By John Lukanski, Kiran Somashekara, Pawel Maziarz
FINRA’s 2023 Priorities and Examination Findings was the topic of discussion at SIFMA's first monthly luncheon of 2023. Reed Smith sponsored this luncheon and provided a full report from the…
Broker- Dealer Law Corner
Highlights From SIFMA’s Compliance And Legal Seminar 2022
By Chris Seps
Thanks to Chris for not only making the personal sacrifice of traveling from frigid Chicago to sunny Florida to attend the SIFMA Compliance and Legal conference last week, but for…