*Letters

Precluding Collective Action Claims from Being Arbitrated

Published on:
February 1, 2012

SIFMA provides comments to the Securities and Exchange Commission (SEC) on a Financial Industry Regulatory Authority (FINRA) proposed rule change to preclude collective action claims from being arbitrated, File No. SR-FINRA-2011-075.  SIFMA shares concerns with certain language in the FINRA proposal, and makes recommendations to address their concerns and otherwise clarify the scope and applicability of the proposed rule change.

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