Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
Court:
U.S. Court of Appeals
(Second Circuit)
Amicus Issue:
Whether, in a SIPA liquidation, a subsequent transferee’s good faith under Section 550(b) should be decided under a subjective willful blindness standard or an inquiry notice standard. Whether, in such a proceeding, the burden of pleading a lack of good faith is appropriately placed on the trustee.
Counsel of Record:
Wachtell, Lipton, Rosen & Katz
Emil A. Kleinhaus
Other Amici:
American Bankers Association
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”).