*Letters

Requested Data for Dispositive Motion Rules

Published on:
May 17, 2011

The Arbitration Committee of SIFMA provides supplemental comments to the Financial Industry Regulatory Authority (FINRA) in response to FINRA’s request for requests for data on motions to dismiss, dated April 19, 2011: SR-FINRA-2007-021. SIFMA takes exception with a particular statement in the FINRA letter, to provide the SEC with additional information about the substance of the statement and finally, to continue to plead the case for clearing firm relief from the recently amended dispositive motions rules.

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