Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
Issue
Retirement Savings→
Summary
SIFMA provided comments to the U.S. Department of Labor (DOL) on proposed regulation under the Employee Retirement Income Security Act of 1974. The proposed amendment describes circumstances in which a payroll deduction savings program, including one run by a state political subdivision, could be eligible for a safe harbor and not be considered an employee pension benefit plan under ERISA.
See also:
Employee Retirement Income Security Act (ERISA)
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”).