Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
The Bond Market Association (TBMA)* provides comments to the Securities and Exchange Commission (SEC) on proposed interpretation of the application of the National Association of Securities Dealers (NASD’s) mark-up policy to transactions in government and other debt securities, File No. SR-NASD-97-61. TBMA believes that the
would provide market participants with useful guidance, if its recommendations were to be incorporated.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
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”).