Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA has submitted an Amicus “Friend of the Court” Brief.
Court:
U.S. Bankruptcy Court (S.D. NY)
Amicus Issue:
Whether certain pre-petition payments made in connection with certain over-the-counter equity derivatives transactions may be avoided and recovered, as preferences and/or fraudulent conveyances, consistent with the safe harbor provisions set forth in Sections 546(e) and (g) of the Bankruptcy Code.
Counsel of Record:
Wilmer Cutler Pickering Hale and Dorr LLP
2445 M Street, NW
Washington, DC 20037
William J. Perlstein
Craig Goldblatt
Johnathan E. Paikin
Caroline Rogus
Other Amici on Brief: International Swaps and Derivatives Association
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”).