Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA provides comments to the Commodity Futures Trading Commission (CFTC) on the Business Affiliate Marketing and Disposal of Consumer Information Rules, RIN Number 3038–AD12; 17 CFR Part 162; 75 FR 66018. The proposal would implement statutory provisions of the recently enacted Dodd Frank Wall Street Reform and Consumer Protection Act SIFMA supports the aims of the proposed rules, and offers these comments on particular topics to assist the Commission in developing regulations that accomplish Dodd-Frank’s goals without causing unnecessary disruption to the operation of the financial markets.
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”).