Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
The Securities Industry Association (SIA)* provide comments to NASD Regulation, Inc. on a proposal to clarify the member firms’ suitability obligations to customers, Notice to Members (NTM) 96-60. SIA believes that NTM 96-90 has failed in its purpose, and unintentionally obscured the nature of a member firm’s suitability obligations.
*SIFMA is the product of a merger between the Securities Industry Association (SIA) and The Bond Market Association (TBMA) in 2006.
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”).