Topic
SIFMA
45 published works
Password Protected
Quantum Dawn 3: SIFMA’s Cybergames
It reads like a movie script: First, the financial services industry experiences a bout of firm-specific attacks in the form of distributed denial of service (DDoS), domain name system (DNS)…
Financial Services Observer
Pete Michaels Speaks at SIFMA Compliance and Legal Society Regional Seminar
By Greenberg Traurig, Aimee Wildstone
Greenberg Traurig’s Pete Michaels, shareholder in the Financial Regulatory and Compliance and Securities Litigation practices, will be participating in the SIFMA Compliance and Legal Society (C&L) Regional Seminar, Sept. 28,…
Corporate Defense and Disputes
The Battle Lines Continue to Form Over the DOL’s Fiduciary Proposal
Earlier this month, the Securities Industry and Financial Markets Association (“SIFMA”) released its “Proposed Best Interests of the Customer Standard for Broker-Dealers” – an alternative to the U.S. Department of…
Password Protected
SIFMA Sets Forth Principles for Effective Cybersecurity Regulatory Guidance
On October 20, 2014, the Securities Industry and Financial Markets Association (SIFMA) issued guidance intended to protect the financial sector’s data security and infrastructure. SIFMA noted that the SEC, CFTC…
Administrative and Regulatory
CFTC prevails in legal challenge to its cross-border interpretive guidance
A federal district court has handed the Commodity Futures Trading Commission (CFTC) a substantial victory, largely rejecting a legal challenge to the agency’s cross-border interpretive guidance brought by financial trade…
Administrative and Regulatory
CFTC prevails in legal challenge to its cross-border interpretive guidance
A federal district court has handed the Commodity Futures Trading Commission (CFTC) a substantial victory, largely rejecting a legal challenge to the agency’s cross-border interpretive guidance brought by financial trade…
Administrative and Regulatory
CFTC prevails in legal challenge to its cross-border interpretive guidance
A federal district court has handed the Commodity Futures Trading Commission (CFTC) a substantial victory, largely rejecting a legal challenge to the agency’s cross-border interpretive guidance brought by financial trade…
AdLaw By Request®
New SIFMA Guidance May Ease Accredited Investor Verification Worries, Assist Reg D Offerings Using General Solicitation
One of the goals of the federal JOBS Act, enacted in 2012, was to expand the ability of companies (both operating companies and funds) to make non-registered securities offerings using…
Corporate and Securities Law
Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance
By David Jenson
Corporate & Financial Weekly Digest
SEC Extends No-Action Letter Permitting Broker-Dealers to Rely on Certain Investment Advisers to Conduct Customer Identification Program Obligations
Co-authored by Avi Badash. The Securities and Exchange Commission has extended a no-action letter dated February 12, 2004 (the 2004 Letter) from the Securities Industry Financial Markets Association (SIFMA) that…