North America
Comment Letters


February 1, 2018
FINRA Retrospective Review on Effectiveness and Efficiency of Payments for Market Making Rule (FINRA Rule 5250)

January 22, 2018
FRB Proposed Policy Statements and Enhanced Disclosure Notice–Stress Testing Transparency


October 30, 2017
CDCC Proposed Rule-Introduction of Limited Clearing Member Category for Fixed Income Clearing Members

October 18, 2017
NYSE Arca Proposal to Facilitate Listing and Trading of Certain Series of Investment Company Units

September 29, 2017
CFTC Request for Public Input on Simplifying CFTC Rules

September 21, 2017
OCC Request for Input on Volcker Rule

May 26, 2017
OFR Approach to Financial Instrument Reference Data

April 7, 2017
SEC-FICC Proposal to Expand Scope of Entities Eligible to Participate in FICC as Sponsored Member

March 17, 2017
DOL Fiduciary Rule - Proposed Extended Applicability Date

February 13, 2017
SEC Proposed Continued Listing Standards for Exchange-Traded Products


December 19, 2016
Proposed Rule – Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants

December 5, 2016
Proposed Rule on Annual Reporting and Disclosure and Proposed Revision of Annual Information Return/Reports (RIN 1210-AB63)

September 26, 2016
Proposed Rule: Disclosure of Order Handling Information

September 9, 2016
Notice of Proposed Rulemaking RE: 17 CFR 4.22

September 6, 2016
Adviser Business Continuity and Transition Plans (File Number S7-13-16)

September 6, 2016
CSA Consultation Paper 95-401: Margin and Collateral Requirements for Non-Centrally Cleared Derivatives- Joint Custody Banks

August 15, 2016
PCAOB Release No. 2016-003: Proposed auditing standard - The Auditor's Report on an Audit of Financial Statements when the Auditor Expresses an Unqualified Opinion and Related Amendments to PCAOB Standards. PCAOB Rulemaking  Docket Matter No. 34

August 5, 2016
Joint Notice of Proposed Rulemaking – Net Stable Funding Ratio, Risk Measurement Standards and Disclosure Requirements- Joint Custody Banks

June 22, 2016
Section 305(c) Proposed Regulations- Joint Custody Banks

June 3, 2016
Notice of Proposed Rulemaking – Single-Counterparty Credit Limits for Large Banking Organizations- Joint Custody Banks

June 3, 2016
Notice of Proposed Rulemaking – Single-Counterparty Credit Limits for Large Banking Organizations

April 26, 2016
Code section 871(m) Regulations- Joint Custody Banks

April 14, 2016
Transfer Agent Regulations (File Number S7-27-15)

April 13, 2016
Massachusetts Business Coalition Letter in Support of Transgender Equality Bill

March 28, 2016
Use of Derivatives by Registered Investment Companies and Business Development Companies [File No. S7-24-15]

February 26, 2016
File No. S7-23-15 - Proposed Amendment to Regulation of NMS Stock Alternative Trading Systems

February 23, 2016
File Reference No. 2015-350: Fair Value Measurement (Topic 820) - Disclosure Framework - Changes to the Disclosure Requirements for Fair Value Measurement

February 19, 2016
Notice of Proposed Rulemaking – Total Loss Absorbing Capacity, Long-Term Debt and Clean Holding Company Requirements for Systemically Important US Bank Holding Companies and Intermediate Holding Companies of Systemically Important Foreign Banking Organizations; Regulatory Capital Deduction for Investments in Certain Unsecured Debt of Systemically Important US Bank Holding Companies

January 19, 2016
RIN 1210–AB71: State Savings Arrangements Safe Harbor

January 14, 2016
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Rule 1.1(s) to Provide for Price Collar Thresholds for Trading Halt Auctions; File Number SR-NYSEARCA-2015-121

January 13, 2016
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release (File Nos. S7-16-15 and S7-08-15)


November 25, 2015
Margin Requirements for non-centrally cleared derivatives; Draft Guideline No. E-22- Joint Custody Banks

November 20, 2015
Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; RIN 3038-AC97

October 30, 2015
CSA Staff Notice 21-315 Next Steps in Regulation and Transparency of the Fixed Income Market

August 17, 2015
Request for Comment on Exchange-Traded Products: File Number S7-11-15

August 11, 2015
Investment Company Reporting Modernization (File Number S7-08-15): Amendments to Form ADV and Investment Advisers Act Rules (File Number S7-09-15)

August 7, 2015
Proposed Accounting Standards Update: Compensation - Stock Compensation (Topic 718) - Improvements to Employee Share-Based Payment Accounting

July 21, 2015
RIN 1210–AB32 – Definition of the Term ‘‘Fiduciary’’ — Conflict of Interest Rule —Retirement Investment Advice; ZRIN: 1210-ZA25 – Proposed Amendments to Class Exemptions 75-1, 77-4, 80-83 and 83-1

July 21, 2015
RIN 1210-AB32, Definition of the Term “Fiduciary”; Conflict of Interest Rule – Retirement Advice- Joint Custody Banks

April 2, 2015
Notice of Proposed Rulemaking ‐ Risk Based Capital Guidelines: Implementation of Capital
Requirements for Global Systemically Important Bank Holding Companies

April 1, 2015
Comment Letter on CSA Consultation Paper 92-401 – Derivatives Trading Facilities

March 25, 2015
Notice Seeking Comment on Asset Management Products and Activities (Docket Number FSOC-2014-0001)

February 2, 2015
Proposed Agency Information Collection - FR 2052a and FR 2052b Reports