Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
SIFMA’s Asset Management Group (SIFMA AMG) and the Association of Institutional Investors submitted a letter to the U.S. Department of Treasury, summarizing the Financial Stability Oversight Council’s (FSOC) conference on asset management.
The letter addressed what academic and industry experts at the May 19th Conference on Asset Management had to say about what is known and not known regarding asset management and its potential impacts on the U.S. financial system.
More Submissions
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Proposed Rule Changes to Amend FINRA Rule 6730 (Transaction Reporting) and Rule G-14 RTRS Procedures Under MSRB Rule G-14
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…
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FASB’s Invitation to Comment – Agenda Consultation
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on its Invitation to Comment - Agenda Consultation (the “ITC”).