Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
Court:
U.S. Supreme Court
(pet. for writ of cert.)
Amicus Issue:
Whether a company that describes in the “risk disclosure” section of its securities filings that a risk may occur in the future must also disclose whether that risk has ever occurred in the past.
Counsel of Record:
Sullivan & Cromwell LLP
Jeffrey B. Wall
Judson O. Littleton
M. Jordan Mino
Other Amici:
U.S. Chamber of Commerce
Business Roundtable
More Submissions
Type:
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…
Type:
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”).