FSI Engaged on Regulatory Reform
On November 10, 2009, Senate Banking Committee Chairman Chris Dodd (D-CT) released a discussion draft of the Restoring American Financial Stability Act of 2009. This is the Senate’s bill designed to address the issues raised in the Administration’s Regulatory Reform White Paper. Click here to read more.
FSI Supports FINRA’s Proposal to Streamline Advertising Rules
The Proposed Rule seeks to streamline the existing advertising rules by reducing the number of communications categories from six to three. Click here for more information.
FSI Comments on the SEC’s Strategic Plan
The Strategic Plan sets out the Commission’s mission, vision, values, and strategic goals for fiscal years 2010 through 2015. Among other items, the Strategic Plan indicates the SEC will address 12b-1 fees, point of sale disclosures, and investor education programs during the relevant period. Click here for more information.
FSI Supports FINRA’s Amended Rule 8210
The Proposed Rule would clarify the scope of FINRA’s authority, specify the method of service for certain unregistered persons under the rule, and authorize service on attorneys who are representing clients. Click here to read more.