Recommendations for FINRA Arbitration
SIFMA provided recommendations to FINRA for improving its arbitration forum.
SIFMA provides comments to the U.S. Securities and Exchange Commission (SEC) on the Municipal Securities Rulemaking Board’s (MSRB) adjustment of their fees, increasing them, to align revenues with operational and capital expenses. The MSRB collects technology fees from municipal securities dealers and municipal advisors. SIFMA strongly opposes the rule changes contained in Notice 2015-13 and urge the Commission to exercise its authority to temporarily suspend the Rule Changes and to institute proceedings to disapprove the MSRB’s changes announced in the Notice.
See also:
MSRB Adjusts Fees to Align Revenues with Operational and Capital Expenses
Self-Regulatory Organizations; Proposed Rule Changes: Municipal Securities Rulemaking Board
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”).