120 Broadway, 35th floor
New York, NY 10271
|
Improve business practices and quality of service in its
area of expertise, promote high standards of professional
capability and performances, foster efficient operations, and
where applicable, encourage uniformity of practice.
Become a MemberMembership in the Credit Division will provide you and your firm an opportunity to to stay up to date with the latest regulatory updates. Stay up to date with proposed changes and interpretation and application of existing rules.
Learn more ...
Special AlertsWelcome to the newest members of the SIFMA Credit Division Governing Committee:
Michael Nierva - Bear Stearns
John Gorman - Credit Suisse
Brian Warshaw - Merrill Lynch James Barry - Morgan Stanley Paul Capezza - Pershing |
 CURRENT DEVELOPMENTS
LIMIT AND MARKET ORDER PROTECTION 09-15 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection; Comment Period Expires: April 24, 2009 AUCTION RATE SECURITIES (ARS) 09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities RETAIL FOREX 09-06 FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex; Comment Period Expired: February 20, 2009 2009 HOLIDAY SCHEDULE 2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule AUCTION RATE SECURITIES (ARS) EXTENSION REQUESTS
MONEY MARKETS MUTUAL FUNDS
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds; (Effective Date: October 21, 2008)  |
|||
