Regulatory Notice 25-04: Rule Modernization
SIFMA provided comments to FINRA in response to Regulatory Notice (RN) 25-04. We welcome this effort to modernize and update…
Summary
SIFMA provides comments to the SEC on a proposal to amend FINRA Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. SIFMA’s comment is limited to disclosures about Expedited Proceeding and specifically, cases where a respondent successfully raises an “inability to pay” defense under FINRA Rule 9554 (failure to comply with an arbitration award). This letter responds to File No. SR-FINRA-2013-018; Release No. 34-69178.
More Submissions
Type:
Data Security Reforms for Federal Financial Regulators (Joint Trades)
SIFMA, The Bank Policy Institute (BPI), the American Bankers Association (ABA), and the Managed Funds Association (MFA) provided comments to…
Type:
Cboe Exchange v. SEC
Court: U.S. Court of Appeals (Seventh Circuit) Amicus Issue: Whether the SEC properly denied CBOE’s proposed rule to reclassify order…