Modifications to the Capital Plan Rule and Stress Capital Buffer Requirement (SIFMA and ISDA)
SIFMA and the International Swaps and Derivatives Association, Inc. (ISDA) provided comments to the Federal Reserve Board of Governors on…
Summary
The Arbitration Committee of SIFMA provides comments to the Securities and Exchange Commission (SEC) on Financial Industry Regulatory Authority’s (FINRA’s) proposed amendments to rules related to the option to choose an all public arbitration panel, File No. SR-FINRA-2010-053. SIFMA’s observations and recommendations include: 1) expanding the Public Arbitrator Pilot Program; 2) increasing the perception of fairness; and 3) preserving safeguards for individual brokers.
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FINRA Regulatory Notice 25-06; Recommendations re FINRA Rule 5510 and 5121
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…
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FINRA Regulatory Notice 25-06: Modernizing FINRA Rules, Guidance and Processes to Facilitate Capital Formation
SIFMA provides comments to the Financial Industry Regulatory Authority, Inc. (FINRA) in regards to Regulatory Notice 25-06 which requests comments…