Securities Industry Assn
RegulationsMentioned in 11 dockets
All data is based on documents downloaded from Regulations.gov. The first table shows mentions: all documents that include the name of the company anywhere in the document or document metadata. The second table shows submissions: all documents where the submitter metadata included the company name. Each table shows the top 10 dockets, ranked by number of occurrences.
Matches are based on a search for the company name. Variations in the company name, such as acronyms, nicknames or alternate names may cause documents to be missed. The mention of a company name in a document may be incidental and does not necessarily indicate that the company has any relevance to the document. Company names that are common English words may erroneously match with text that is not referring to the company.
Not all agencies submit public comments to Regulations.gov. For a list of participating and non-participating agencies see here. Agencies that do submit to Regulations.gov have varying levels of accuracy and completeness.
Regulations and public comments can be downloaded in bulk here.
The tables show occurrences of "Securities Industry Assn" in public comments on proposed federal regulations.
Mentions in Document Text
View all mentions data for Securities Industry Assn
- Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: International Securities Exchange, LLC 2011
- Toggle 1 CFTC Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements under Section 4s of CEA 2011
- Toggle 1 CFTC Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of CEA 2011
- Toggle 1 FSOC Recommendation Regarding Money Market Mutual Fund Reform 2012
- Toggle 1 NRC Availability of Draft Regulatory Guide 2012
- Toggle 1 SEC Self-Regulatory Organizations; Proposed Rule Changes: NASDAQ Stock Market LLC 2012
- Toggle 1 SEC Orders Granting Limited Exemptions from Exchange Act Rules: ALPS ETF Trust; ALPS/GS Momentum Builder Growth Markets Equities and U.S. Treasuries Index ETF, et al. 2012
- Toggle 1 OMB Federal Participation in the Development and Use of Voluntary Consensus Standards and in Conformity Assessment Activities 2012
- Toggle 1 FINCEN Customer Due Diligence Requirements for Financial Institutions 2012
- Toggle 1 OCC Volcker Rule - Prohibition on Proprietary Trading and Certain Relationships with Hedge Funds and Private Equity Funds 2011