Other

Recommendations from the Investor Advocate

July 7, 2015

Comment Letter: Registration for Index-Linked Annuities; Amendments to Form N-4 for Index-Linked and Variable Annuities (December 22, 2023)
To NASDAQ on listing standards for Special Purpose Acquisition Companies (April 21, 2022)
To NYSE and NYSE American on listing standards for Special Purpose Acquisition Companies (April 21, 2022)
To the SEC on a Proposal from EDGA for Liquidity Provider Protection (Asymmetric Speedbump) (Dec. 13, 2019)
To the SEC on the Concept Release on Harmonization of Securities Offering Exemptions (July 11, 2019)
Draft Amendments to MSRB Rules on Primary Offering Practices (Sept. 17, 2018)
To FINRA Regarding Quantitative Suitability (June 19, 2018)
To the SEC on a Proposal from CHX for an Access Delay (Speedbump) (Feb. 27, 2018)
To FINRA Regarding Arbitration Procedures Relating to Expungement (Feb. 15, 2018)
To FASB on the Definition of Materiality (July 11, 2017)
To the SEC on FINRA Proposals on Financial Exploitation (Dec. 28, 2016)
To the SEC on Proposals from FINRA and MRSB on mark-up disclosure for retail fixed income trades (November 7, 2016)
To the SEC on Proposals from NYSE MKT and NYSE Arca on Filing Broker-Dealer Termination Notices (October 3, 2016)
To SEC on Regulation of Alternative Trading Systems (Sept. 9, 2016)
To PCAOB on Expanding the Auditor's Report (Aug. 15, 2016)
To Congress on Auditor Attestation (May 23, 2016)
To MSRB on Prevailing Market Price (Mar. 31, 2016)
To NASDAQ on its Solicitation of Comments about Shareholder Approval Rules (Feb. 12, 2016)
To the SEC on a BATS proposal to combat manipulative trading activity (Dec. 15, 2015)
To MSRB and FINRA on proposals to require mark-up or pricing disclosures on confirmations (Dec. 11, 2015)
To NASAA on its Proposed Model Act to Protect Vulnerable Adults From Financial Exploitation (Oct. 29, 2015)
To MSRB on Draft Amendments to Lengthen the Term of Board Member Service (Oct. 29, 2015)
To the SEC on an NYSE proposal to exempt early-stage companies from having to obtain shareholder approval for certain related-party transactions (October 16, 2015)
To MSRB on qualifications of the Public Investor Representative (July 13, 2015)
To FINRA on its proposal to require pricing disclosure in the fixed income markets (Jan. 20, 2015)
To MSRB on its proposal to require dealers to provide pricing reference information on retail customer confirmations (Jan. 20, 2015)
To MSRB on its strategic priorities (Oct. 31, 2014)

Modified: Jan. 19, 2024

Return to Top