Companies › Securities Industry and Financial Markets Association (SIFMA)

Securities Industry and Financial Markets Association (SIFMA)

Trade or professional group Investment & Securities

Securities Industry and Financial Markets Association (SIFMA) is listed as a trade or professional group in Investment & Securities. It has filed 62 comment letters on 39 proposed federal rules between 2022 and 2026, most often with the Securities and Exchange Commission. Of those rules, 10 rules became final and 5 were withdrawn.

Type
Trade or professional group
Industry
Investment & Securities
Comment letters
62
Rules commented on
39
First letter
2022-02-11
Latest letter
2026-10-20
Agencies most often
Securities and Exchange Commission (42); Securities and Exchange Commission (3); Financial Crimes Enforcement Network (3)

Activity by year

202211
202321
20243
20256
202621

Letters

2026

Regulation Crypto Assets

S7-2026-27Securities and Exchange Commission · filed 2026-10-20 · filed as “Securities Industry and Financial Markets Association”

GENIUS Act Regulations on Payment Stablecoin Issuance, Offer, and Sale

TREAS-DO-2026-0496Treasury Department · filed 2026-10-20

Guidance on Eligible Investments for Trump Accounts

IRS-2026-1090Treasury Department, Internal Revenue Service · filed 2026-10-20 · filed as “SIFMA”

Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives

S7-2026-23Commodity Futures Trading Commission, Securities and Exchange Commission · filed 2026-08-28 · filed as “SIFMA”

Joint Request for Comment on Swap and Security-Based Swap Data Reporting

S7-2026-22Commodity Futures Trading Commission, Securities and Exchange Commission · filed 2026-08-24 · filed as “SIFMA”

Joint Request for Comment on Swap and Security-Based Swap Data Reporting

S7-2026-22Commodity Futures Trading Commission, Securities and Exchange Commission · filed 2026-08-24 · filed as “SIFMA”

Permitted Payment Stablecoin Issuer Customer Identification Program

FINCEN-2026-0101Treasury Department, Financial Crimes Enforcement Network · filed 2026-08-24 · filed as “SIFMA”

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

S7-2026-20Securities and Exchange Commission · filed 2026-08-17

Registered Offering Reform

S7-2026-17Securities and Exchange Commission · filed 2026-07-27 · filed as “SIFMA”

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

S7-2026-18Securities and Exchange Commission · filed 2026-07-27 · filed as “SIFMA”

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

S7-2026-18Securities and Exchange Commission · filed 2026-07-20 · filed as “SIFMA”

Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources

S7-2026-12Securities and Exchange Commission · filed 2026-06-22 · filed as “SIFMA”

Permitted Payment Stablecoin Issuer Anti-Money Laundering/Countering the Financing of Terrorism Program and Sanctions Compliance Program Requirements

FINCEN-2026-0100Treasury Department, Foreign Assets Control Office, Financial Crimes Enforcement Network · filed 2026-06-10 · filed as “Securities Industry and Financial Markets Association”

Anti-Money Laundering and Countering the Financing of Terrorism Programs

FINCEN-2026-0034Treasury Department, Financial Crimes Enforcement Network · filed 2026-06-10

Whistleblower Incentives and Protections

FINCEN-2026-0067Treasury Department, Financial Crimes Enforcement Network · filed 2026-06-09 · filed as “SIFMA”

Semiannual Reporting

S7-2026-15Securities and Exchange Commission · filed 2026-06-05 · filed as “Securities Industry and Financial Markets Association”

Semiannual Reporting

S7-2026-15Securities and Exchange Commission · filed 2026-06-04 · filed as “SIFMA”

Authority To Require Supervision and Regulation of Certain Nonbank Financial Companies

FSOC-2026-0034Financial Stability Oversight Council · filed 2026-05-28 · filed as “SIFMA”

Publication or Submission of Quotations Without Specified Information

S7-2026-08Securities and Exchange Commission · filed 2026-05-18 · filed as “SIFMA”

Implementing the Guiding and Establishing National Innovation for U.S. Stablecoins Act for the Issuance of Stablecoins by Entities Subject to the Jurisdiction of the Office of the Comptroller of the Currency

OCC-2025-0372Treasury Department, Comptroller of the Currency · filed 2026-05-04 Final rule 2026

"Small Business" and "Small Organization" Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act

S7-2026-01Securities and Exchange Commission · filed 2026-03-13

2025

Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration

S7-2025-04Securities and Exchange Commission · filed 2025-12-01 · filed as “SIFMA”

Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration

S7-2025-04Securities and Exchange Commission · filed 2025-12-01 · filed as “SIFMA”

GENIUS Act Implementation

TREAS-DO-2025-0037Treasury Department · filed 2025-11-19

Concept Release on Residential Mortgage-Backed Securities Disclosures and Enhancements to Asset-Backed Securities Registration

S7-2025-04Securities and Exchange Commission · filed 2025-11-14

Concept Release on Foreign Private Issuer Eligibility

S7-2025-01Securities and Exchange Commission · filed 2025-09-08 · filed as “SIFMA”

Catch-Up Contributions

IRS-2025-0003Treasury Department, Internal Revenue Service · filed 2025-03-28

2024

Financial Data Transparency Act Joint Data Standards

S7-2024-05Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, Consumer Financial Protection Bureau, Federal Housing Finance Agency, Commodity Futures Trading Commission, Securities and Exchange Commission, Treasury Department · filed 2024-12-20 · filed as “Securities Industry and Financial Markets Association” Final rule 2026

Financial Data Transparency Act Joint Data Standards

S7-2024-05Treasury Department, Comptroller of the Currency, Federal Reserve System, Federal Deposit Insurance Corporation, National Credit Union Administration, Consumer Financial Protection Bureau, Federal Housing Finance Agency, Commodity Futures Trading Commission, Securities and Exchange Commission, Treasury Department · filed 2024-10-21 · filed as “Securities Industry and Financial Markets Association” Final rule 2026

Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers

S7-2024-02Treasury Department, Financial Crimes Enforcement Network, Securities and Exchange Commission · filed 2024-07-22 · filed as “SIFMA”

2023

Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule

S7-11-23Securities and Exchange Commission · filed 2023-09-11 Final rule 2025

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-21 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2023-08-21 Final rule 2023

Amendments to PCAOB Auditing Standards related to a Company’s Noncompliance with Laws and Regulations and Other Related Amendments

Docket No. 51Public Company Accounting Oversight Board (PCAOB) · filed 2023-08-07

Prohibition Against Conflicts of Interest in Certain Securitizations

S7-01-23Securities and Exchange Commission · filed 2023-07-27 · filed as “Securities Industry and Financial Markets Association” Final rule 2023

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

S7-10-23Securities and Exchange Commission · filed 2023-07-17 Final rule 2024

Covered Clearing Agency Resilience and Recovery and Wind-Down Plans

S7-10-23Securities and Exchange Commission · filed 2023-06-28 Final rule 2024

Modernization of Beneficial Ownership Reporting

S7-06-22Securities and Exchange Commission · filed 2023-06-27 Final rule 2023

Regulation Systems Compliance and Integrity

S7-07-23Securities and Exchange Commission · filed 2023-06-13 Withdrawn 2025

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2023-06-13 Withdrawn 2025

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2023-06-13 Withdrawn 2025

Cybersecurity Risk Management Rule

S7-06-23Securities and Exchange Commission · filed 2023-06-05 Withdrawn 2025

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-06-05 Final rule 2024

Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934

S7-08-23Securities and Exchange Commission · filed 2023-05-22 Final rule 2025

Safeguarding Advisory Client Assets

S7-04-23Securities and Exchange Commission · filed 2023-05-08 · filed as “Securities Industry and Financial Markets Association” Withdrawn 2025

Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

S7-04-22Securities and Exchange Commission · filed 2023-04-11 Withdrawn 2025

Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information

S7-05-23Securities and Exchange Commission · filed 2023-03-31 Final rule 2024

Cybersecurity Risk Management Rule

S7-06-23Securities and Exchange Commission · filed 2023-03-31 Withdrawn 2025

Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market

TREAS-DO-2023-0001-0001Department of the Treasury · filed 2023-03-10 · filed as “Securities Industry and Financial Markets Association”

Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market

TREAS-DO-2023-0001-0001Department of the Treasury · filed 2023-03-09 · filed as “Securities Industry and Financial Markets Association”

Collection of Non-Centrally Cleared Bilateral Transactions in the U.S. Repurchase Agreement Market

TREAS-DO-2023-0001-0001Department of the Treasury · filed 2023-03-09 · filed as “Securities Industry and Financial Markets Association”

2022

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

S7-09-22Securities and Exchange Commission · filed 2022-06-22 Final rule 2023

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-06-13 Withdrawn 2025

Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure

S7-09-22Securities and Exchange Commission · filed 2022-05-09 Final rule 2023

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-04-18 Withdrawn 2025

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-04-18 Withdrawn 2025

Modernization of Beneficial Ownership Reporting

S7-06-22Securities and Exchange Commission · filed 2022-04-11 Final rule 2023

Modernization of Beneficial Ownership Reporting

S7-06-22Securities and Exchange Commission · filed 2022-04-11 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-03-21 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-03-21 Final rule 2023

Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions

S7-32-10Securities and Exchange Commission · filed 2022-03-21 Final rule 2023

Comments on Amendments Regarding the Definition of “Exchange” and Alternative Trading Systems (ATSs) That Trade U.S. Treasury and Agency Securities, National Market System (NMS) Stocks, and Other Securities

S7-02-22Securities and Exchange Commission · filed 2022-02-11 Withdrawn 2025