Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Summary
SIFMA, The Clearing House (TCH), The Financial Services Roundtable (FSR), and the American Bankers Association (ABA) provide comments to multiple federal regulators on proposed rulemaking implementing the Volcker Rule, specifically commenting on provisions related to hedge funds and private equity funds.
On April 16, 2012, the same group of associations filed comments with the Commodity Futures Trading Commission (CFTC) on the CFTC’s Volcker Rule proposal.
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”).