Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA and four other organizations wrote a joint letter to the Municipal Securities Rulemaking Board (MSRB) recommending MSRB give serious consideration to postponing the compliance date for recently adopted Rule G-45, which requires primary underwriters of 529 plans to file data with the MSRB. The organizations believe the delay is necessary to provide filers ample time to implement these new filing requirements and avoid violating the new rule.
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA and SIFMA AMG provided comments to the U.S. Securities and Exchange Commission (SEC) regarding FINRA and the MSRB’s amendments…
SIFMA provided comments to the Financial Accounting Standards Board (FASB) on its Invitation to Comment - Agenda Consultation (the “ITC”).