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SIFMA submits comment letters regarding SEC's notice of proposed exemptive order granting conditional exemption from broker registration requirements of Section 15(a) of Securities Exchange Act of 1934

January 2020

Client(s) SIFMA (Securities Industry and Financial Markets)

Jones Day advised SIFMA in the preparation of two comment letters setting forth SIFMA's views regarding the SEC's notice of proposed exemptive order granting a conditional exemption from the broker registration requirements of Section 15(a) of the Securities Exchange Act of 1934 for certain activities of registered municipal advisors. Jones Day attorneys attended multiple meetings with SEC commissioners and staff as well as other regulators to discuss SIFMA's position.

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